Elizabeth L. Novak
Professional summary
Elizabeth Lee Ann Novak, who also goes by Elizabeth Lee Ann Archuleta, Elizabeth L Novak, is a registered financial professional currently at STANCORP EQUITIES, INC. located in Portland, Oregon.
Elizabeth is registered as a RR (Registered Representative) and started their career in finance in 2002. Elizabeth has worked at 4 firms and has passed the Series 63, Series 7TO, SIE, Series 6 and Series 26 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary) - BD
Click below to view Elizabeth Lee Ann Novak's CRS (Customer Relationship Summary).
Certified licenses
Experience
October 18, 2022 - Present
STANCORP EQUITIES, INC.
Office #1: 1100 Sw Sixth Avenue, Portland, OR 97204-1093September 24, 2020 - October 6, 2022
EMPOWER FINANCIAL SERVICES, INC.
February 7, 2020 - September 14, 2020
FIDELITY BROKERAGE SERVICES LLC
September 6, 2002 - May 31, 2019
OPPENHEIMERFUNDS DISTRIBUTOR, INC.
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
Visual representation of state registrations
(9/26/2023)
Exams
Series 7TO
Date: 2/7/2020
General Securities Representative ExaminationFINRA
Current Firm
STANCORP EQUITIES, INC.
CRD#: 19517 / SEC#: , 8-37563
Contact information
FINRA licenses (51 States and Territories)
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| STANCORP FINANCIAL GROUP, INC. | OWNER OF STANCORP EQUITIES, INC. | |
| BURLIE, JASON MATTHEW | PRESIDENT | 4072452 |
| HUANG, JAMES PEI-YUEN | SECRETARY | 4020305 |
| LIM, CHARLES | CHIEF COMPLIANCE OFFICER | 5039063 |
| MARTIN, SHANNON MICHELLE | 2ND VICE PRESIDENT AND ASSISTANT CONTROLLER | 7616238 |
| PAGLIARULO, DAVID C | TREASURER, FINOP | 6883045 |
Red Flags
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