LE
Luz B. Elfiki
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CRD#: 4505633
LE
Professional summary
Being a previously registered professional could mean that this person is no longer operating under the supervision of the SEC or FINRA.
That means that the Securities and Exchange Commission may not be able to oversee the services that this specific professional is providing.
Luz B Elfiki, who also goes by Dee Elfiki, was a registered financial professional .
Luz is a previously registered financial professional and started their career in finance in 2002. Luz had worked at 7 firms and has passed the Series 66, SIE and Series 7 exams.
Question & Answer
Are you a "fiduciary"?
No
Aliases
Dee Elfiki
Other business activities
Outside business activity is any business or activity undertaken by an advisor that is outside the scope of their relationship with their firm (e.g., consulting services, real estate, freelance work, teaching, etc.). Investors should stay informed about these activities to ensure no conflicts of interest.
SELLING FIXED INSURANCE UNDER NAME TRIAD FINANICAL GROUP, CONDUCTED AT BRANCH, INVESTMENT RELATED.
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Advisors may have various certifications and credentials from different organizations. AdvisorCheck highlights these seven certifications - AIF®, CFP®, ChFC®, CFA, CLU®, CIMA®, CPWA®
NoneExperience
Past
December 3, 2010 - June 27, 2024
COMMONWEALTH FINANCIAL NETWORK
RIA
CRD#: 8032
CREVE COEUR, MO
Past
December 3, 2010 - June 27, 2024
COMMONWEALTH FINANCIAL NETWORK
BD
CRD#: 8032
CREVE COEUR, MO
Past
September 9, 2008 - December 9, 2010
NEW ENGLAND SECURITIES
RIA
CRD#: 615
ST. LOUIS, MO
Past
August 20, 2008 - December 9, 2010
NEW ENGLAND SECURITIES
BD
CRD#: 615
ST. LOUIS, MO
Past
January 12, 2006 - August 7, 2008
THE AMERICA GROUP FINANCIAL ADVISORY SERVICES, LLC
RIA
CRD#: 132250
ST. LOUIS, MO
Past
January 5, 2005 - December 31, 2007
ON INVESTMENT MANAGEMENT CO
RIA
CRD#: 105662
ST LOUIS, MO
Past
May 23, 2003 - December 31, 2004
ON INVESTMENT MANAGEMENT CO
RIA
CRD#: 105662
ST. LOUIS, MO
Past
May 19, 2003 - August 8, 2008
THE O.N. EQUITY SALES COMPANY
BD
CRD#: 2936
ST. LOUIS, MO
Past
April 16, 2003 - May 23, 2003
VERAVEST INVESTMENT ADVISORS, INC.
RIA
CRD#: 105796
ST. LOUIS, MO
Past
March 27, 2002 - May 20, 2003
VERAVEST INVESTMENTS, INC.
BD
CRD#: 3960
WORCESTER, MA
Primary Firm SEC Registration
This SEC-registered firm can serve clients nationwide. Some states may require the firm to submit a notice filing if the firm has more than 5 clients or a physical office there. You can view these state-level filings under the section titled "State Registrations and Notice Filings".
COMMONWEALTH FINANCIAL NETWORK
2250 FINANCIAL SERVICES INC | BOWMAN ASSET MANAGEMENT, INC. | BOUCHARD AND ASSOCIATES | BOTHFELD FINANCIAL PARTNERS | BOSTONPREMIER WEALTH, LLC | BOSTONNORTH FINANCIAL SERVICES, INC. | BOSTON WEALTH STRATEGIES | BONEBRAKE FINANCIAL PLANNING & WEALTH MANAGEMENT | BLUEPRINT WEALTH ADVISORS, LLC | BLUEPRINT WEALTH ADVISORS | BLUEGRASS LEGACY GROUP | BLUE RIVER GROUP, LLC | BLUE HILLS WEALTH MANAGEMENT | BLUE HAVEN STRATEGIC FINANCIAL GROUP | BLASER INVESTMENT MANAGEMENT GROUP INC. | BLAKELY FINANCIAL | BLACK POINT WEALTH MANAGEMENT | BLACK DIAMOND CUSTOM WEALTH MANAGEMENT | BISHOP FINANCIAL | BISDORF PALMER, LLC | BIFFEN WEALTH MANAGEMENT | BIESTEK WEALTH MANAGEMENT, LLC | BIENVENU WEALTH MANAGEMENT | BIANCHI WEALTH MANAGEMENT | BEVAN WEALTH MANAGEMENT | BESTGEN WEALTH MANAGEMENT, LLC | BEST TIMES FINANCIAL | BERTHOLD CAPITAL, LLC | BERKSHIREBANC INVESTMENT SERVICES | BERKS FINANCIAL | BENZ FINANCIAL SERVICES, INC. | BENZ FINANCIAL GROUP | BENJAMIN AND COMPANY | BENJAMIN & COMPANY, LLC | BENISON FINANCIAL SERVICES | BENETAS WEALTH | BENCHMARK INVESTMENTS & INSURANCE | BELOIN INVESTMENT GROUP | BELL RETIREMENT STRATEGIES | BELL FINANCIAL | BEEBE FINANCIAL SERVICES | BEACON INVESTMENT MANAGEMENT | BEACON FINANCIAL PLANNING SERVICES, LLC | BDS FINANCIAL SERVICES | BDS FINANCIAL NETWORK | BAY HARBOR PRIVATE WEALTH GROUP | BARTHOLOMEW & COMPANY, INC. | BARSTOW AND COMPANY, LLC | BARRON WEALTH STRATEGIES | BANYAN FINANCIAL SERVICES | BANNON & COMPANY, LLC | BANKRI INVESTMENT SERVICES | BANK RHODE ISLAND INVESTMENT SERVICES | BANK OF PRAIRIE DU SAC | BALLAST WEALTH PARTNERS | BALL FINANCIAL SERVICES COMPANY | BAILEY & BEATTY FINANCIAL SERVICES, LLC | BACKNINE ADVISORS, LLC | BACK COVE FINANCIAL | AZIMUTH WEALTH MANAGEMENT, INC | AZCA FINANCIAL GROUP, LLC | AXIAL FINANCIAL GROUP | AXIAL BENEFITS GROUP | AVERY AND POPE WEALTH MANAGEMENT | AVENOR WEALTH | AVANT-GARDE WEALTH PARTNERS | AUSTIN FINANCIAL MANAGEMENT, INC. | AUGUSTINE FINANCIAL, LLC | AUCOIN WEALTH MANAGEMENT | ATTICUS WEALTH MANAGEMENT | ATLANTIC WEALTH STRATEGIES, LLC | ATLANTIC WEALTH MANAGEMENT, LLC | ATLANTIC WEALTH ADVISORS, LLC | ASTLE INVESTMENT MANAGEMENT | ASSET ADVISORY SERVICES, INC. | ASSAY WEALTH PARTNERS, LLC | ASHWOOD ADVISORS, LLC | ASHOKAN WEALTH MANAGEMENT | ASCEND WEALTH MANAGEMENT | ASCEND FINANCIAL GROUP | ARTISAN FINANCIAL GROUP | ARTHA WEALTH ADVISORS | ARQ FINANCIAL GROUP | ARKHITEKTON FINANCIAL GROUP | ARBOR FINANCIAL SERVICES | APT ASSET MANAGEMENT, LLC | APPOLITO AND ASSOCIATES WEALTH & RETIREMENT PLANNING | APOGEE WEALTH ADVISORS LLC | APEX WEALTH ADVISORS | APEL ASSOCIATES | AP FINANCIAL | ANTONE MERCURIO LLC | ANTON LEMIEUX FINANCIAL GROUP | ANLON FINANCIAL STRATEGIES | ANGELO PLANNING GROUP | ANDREW HOFF AGENCY | ANDRA WEALTH MANAGEMENT | ANDERSON WEALTH MANAGEMENT | AMS FINANCIAL GROUP | AMIDON & PETERSEN FINANCIALS | AMES FINANCIAL SERVICES | AMERICAN NATIONAL WEALTH MANAGEMENT | ALMA WEALTH | ALLISON FINANCIAL GROUP, INC. | ALLIANCE PRIVATE WEALTH LLC | ALLIANCE FINANCIAL PLANNING | ALLFLUENT WEALTH MANAGEMENT LLC | ALLEN WEALTH MANAGEMENT | ALLEN INSURANCE AND FINANCIAL | ALLEN FINANCIAL GROUP | ALLEGIANT WEALTH STRATEGIES | ALLEGIANT WEALTH MANAGEMENT GROUP | ALIGN WEALTH STRATEGIES | ALIGN RETIREMENT PLAN ADVISORS | ALFSTAD CAPITAL, LLC | AIKEN FINANCIAL PLANNING, LLC | AGENCY WEALTH PARTNERS | AGENCY WEALTH PARTNER | AFFLUERE FINANCIAL SERVICES | AFFINITY WEALTH SOLUTIONS | AFFINITY ASSET MANAGEMENT | AERAN ASSET MANAGEMENT | AEGIS CONSULTING | ADVISORY GROUP WEST | ADVANTIS WEALTH PARTNERS | ADVANCED WEALTH MANAGEMENT | ADVANCED GROUP FINANCIAL SERVICES | ADVANCED FINANCIAL GROUP | ADVANCED CORPORATE SOLUTIONS LTD | ADDESSI FINANCIAL PARTNERS | ADAMS & ASSOCIATES | ACS ADVISORY LLC | ACRE EQUITY ADVISORS | ACORN FINANCIAL | AC FINANCIAL PARTNERS | A BETTER FINANCIAL GROUP, INC. | A BETTER FINANCIAL GROUP, INC | 7G WEALTH MANAGEMENT | 7 STREETS FINANCIAL LLC | 7 GRAINS PLANNING & INVESTMENTS | 4TH QUARTER WEALTH MANAGEMENT | 4RIVERS WEALTH MANAGEMENT | 44 NORTH FINANCIAL PARTNERS | 401K TEAM | 401K PLAN CONSULTANTS, LLC | 3RIVERS FINANCIAL | 307 FINANCIAL SERVICES, LLC...
CRD#: 8032 / SEC#: 801-41541, 8-24040
RIA
Registered Investment Advisory firm - SEC (6/11/1992 Approved)BD
Broker-Dealer Firm Regulated by FINRA (Boston district office)
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
Visual representation of state registrations
This advisor is not registered in any state.
Exams
State Security Law Exam
General Industry/Product Exam
General Industry/Product Exam
Current Firm
COMMONWEALTH FINANCIAL NETWORK
2250 FINANCIAL SERVICES INC | BOWMAN ASSET MANAGEMENT, INC. | BOUCHARD AND ASSOCIATES | BOTHFELD FINANCIAL PARTNERS | BOSTONPREMIER WEALTH, LLC | BOSTONNORTH FINANCIAL SERVICES, INC. | BOSTON WEALTH STRATEGIES | BONEBRAKE FINANCIAL PLANNING & WEALTH MANAGEMENT | BLUEPRINT WEALTH ADVISORS, LLC | BLUEPRINT WEALTH ADVISORS | BLUEGRASS LEGACY GROUP | BLUE RIVER GROUP, LLC | BLUE HILLS WEALTH MANAGEMENT | BLUE HAVEN STRATEGIC FINANCIAL GROUP | BLASER INVESTMENT MANAGEMENT GROUP INC. | BLAKELY FINANCIAL | BLACK POINT WEALTH MANAGEMENT | BLACK DIAMOND CUSTOM WEALTH MANAGEMENT | BISHOP FINANCIAL | BISDORF PALMER, LLC | BIFFEN WEALTH MANAGEMENT | BIESTEK WEALTH MANAGEMENT, LLC | BIENVENU WEALTH MANAGEMENT | BIANCHI WEALTH MANAGEMENT | BEVAN WEALTH MANAGEMENT | BESTGEN WEALTH MANAGEMENT, LLC | BEST TIMES FINANCIAL | BERTHOLD CAPITAL, LLC | BERKSHIREBANC INVESTMENT SERVICES | BERKS FINANCIAL | BENZ FINANCIAL SERVICES, INC. | BENZ FINANCIAL GROUP | BENJAMIN AND COMPANY | BENJAMIN & COMPANY, LLC | BENISON FINANCIAL SERVICES | BENETAS WEALTH | BENCHMARK INVESTMENTS & INSURANCE | BELOIN INVESTMENT GROUP | BELL RETIREMENT STRATEGIES | BELL FINANCIAL | BEEBE FINANCIAL SERVICES | BEACON INVESTMENT MANAGEMENT | BEACON FINANCIAL PLANNING SERVICES, LLC | BDS FINANCIAL SERVICES | BDS FINANCIAL NETWORK | BAY HARBOR PRIVATE WEALTH GROUP | BARTHOLOMEW & COMPANY, INC. | BARSTOW AND COMPANY, LLC | BARRON WEALTH STRATEGIES | BANYAN FINANCIAL SERVICES | BANNON & COMPANY, LLC | BANKRI INVESTMENT SERVICES | BANK RHODE ISLAND INVESTMENT SERVICES | BANK OF PRAIRIE DU SAC | BALLAST WEALTH PARTNERS | BALL FINANCIAL SERVICES COMPANY | BAILEY & BEATTY FINANCIAL SERVICES, LLC | BACKNINE ADVISORS, LLC | BACK COVE FINANCIAL | AZIMUTH WEALTH MANAGEMENT, INC | AZCA FINANCIAL GROUP, LLC | AXIAL FINANCIAL GROUP | AXIAL BENEFITS GROUP | AVERY AND POPE WEALTH MANAGEMENT | AVENOR WEALTH | AVANT-GARDE WEALTH PARTNERS | AUSTIN FINANCIAL MANAGEMENT, INC. | AUGUSTINE FINANCIAL, LLC | AUCOIN WEALTH MANAGEMENT | ATTICUS WEALTH MANAGEMENT | ATLANTIC WEALTH STRATEGIES, LLC | ATLANTIC WEALTH MANAGEMENT, LLC | ATLANTIC WEALTH ADVISORS, LLC | ASTLE INVESTMENT MANAGEMENT | ASSET ADVISORY SERVICES, INC. | ASSAY WEALTH PARTNERS, LLC | ASHWOOD ADVISORS, LLC | ASHOKAN WEALTH MANAGEMENT | ASCEND WEALTH MANAGEMENT | ASCEND FINANCIAL GROUP | ARTISAN FINANCIAL GROUP | ARTHA WEALTH ADVISORS | ARQ FINANCIAL GROUP | ARKHITEKTON FINANCIAL GROUP | ARBOR FINANCIAL SERVICES | APT ASSET MANAGEMENT, LLC | APPOLITO AND ASSOCIATES WEALTH & RETIREMENT PLANNING | APOGEE WEALTH ADVISORS LLC | APEX WEALTH ADVISORS | APEL ASSOCIATES | AP FINANCIAL | ANTONE MERCURIO LLC | ANTON LEMIEUX FINANCIAL GROUP | ANLON FINANCIAL STRATEGIES | ANGELO PLANNING GROUP | ANDREW HOFF AGENCY | ANDRA WEALTH MANAGEMENT | ANDERSON WEALTH MANAGEMENT | AMS FINANCIAL GROUP | AMIDON & PETERSEN FINANCIALS | AMES FINANCIAL SERVICES | AMERICAN NATIONAL WEALTH MANAGEMENT | ALMA WEALTH | ALLISON FINANCIAL GROUP, INC. | ALLIANCE PRIVATE WEALTH LLC | ALLIANCE FINANCIAL PLANNING | ALLFLUENT WEALTH MANAGEMENT LLC | ALLEN WEALTH MANAGEMENT | ALLEN INSURANCE AND FINANCIAL | ALLEN FINANCIAL GROUP | ALLEGIANT WEALTH STRATEGIES | ALLEGIANT WEALTH MANAGEMENT GROUP | ALIGN WEALTH STRATEGIES | ALIGN RETIREMENT PLAN ADVISORS | ALFSTAD CAPITAL, LLC | AIKEN FINANCIAL PLANNING, LLC | AGENCY WEALTH PARTNERS | AGENCY WEALTH PARTNER | AFFLUERE FINANCIAL SERVICES | AFFINITY WEALTH SOLUTIONS | AFFINITY ASSET MANAGEMENT | AERAN ASSET MANAGEMENT | AEGIS CONSULTING | ADVISORY GROUP WEST | ADVANTIS WEALTH PARTNERS | ADVANCED WEALTH MANAGEMENT | ADVANCED GROUP FINANCIAL SERVICES | ADVANCED FINANCIAL GROUP | ADVANCED CORPORATE SOLUTIONS LTD | ADDESSI FINANCIAL PARTNERS | ADAMS & ASSOCIATES | ACS ADVISORY LLC | ACRE EQUITY ADVISORS | ACORN FINANCIAL | AC FINANCIAL PARTNERS | A BETTER FINANCIAL GROUP, INC. | A BETTER FINANCIAL GROUP, INC | 7G WEALTH MANAGEMENT | 7 STREETS FINANCIAL LLC | 7 GRAINS PLANNING & INVESTMENTS | 4TH QUARTER WEALTH MANAGEMENT | 4RIVERS WEALTH MANAGEMENT | 44 NORTH FINANCIAL PARTNERS | 401K TEAM | 401K PLAN CONSULTANTS, LLC | 3RIVERS FINANCIAL | 307 FINANCIAL SERVICES, LLC...
CRD#: 8032 / SEC#: 801-41541, 8-24040
RIA
Registered Investment Advisory firm - SEC (6/11/1992 Approved)BD
Broker-Dealer Firm Regulated by FINRA (Boston district office)
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Contact information
Main Address
275 Wyman Street, Ste. 400 Suite 400, Waltham, MA 02451-1200
Mailing Address
275 Wyman Street, Ste. 400, Waltham, MA 02451
Phone number
(781) 736-0700
Established
Massachusetts since 08/01/2017
Firm type
Limited Liability Company
Fiscal year end
December
Firm Size
Large
# of Employees
4,850
SEC notice filing (53 States and Territories)
FINRA licenses (53 States and Territories)
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| 1979 HOLDING COMPANY, LLC | MANAGING MEMBER | |
| BLOOM, WAYNE MICHAEL | MANAGING DIRECTOR, CHIEF EXECUTIVE OFFICER | 2014352 |
| BOHS, JONATHAN CHRISTIAAN | MANAGING PRINCIPAL, OPERATIONS | 2308915 |
| CLEASBY, JONATHAN C. | CHIEF FINANCIAL OFFICER | 5777356 |
| HO, PEGGY LYNN | GENERAL COUNSEL, SENIOR VICE PRESIDENT | 5401546 |
| HORAN-ADAMS, KIRBY LEPAK | MANAGER | 5097259 |
| KLOMAN, CHRISTOPHER ANTHONY TRAPNELL | CHIEF OPERATIONS OFFICER, PRESIDENT | 4896179 |
| MCMILLAN, WILLIAM BRADFORD | MANAGING PRINCIPAL, CHIEF INVESTMENT OFFICER | |
| MOLINARI, ROBERT ERIC | RIA CHIEF COMPLIANCE OFFICER | 2788698 |
| MORRISON, STEVEN PHILIP | MANAGER | 4529345 |
| PRICE, BRIAN THOMAS | MANAGING PRINCIPAL, INVESTMENT MANAGEMENT AND RESEARCH | 4019817 |
| SUGDEN, MATTHEW JOHN | BD CHIEF COMPLIANCE OFFICER | 4804647 |
Regulatory assets under management
| Total Number of Accounts | 671,650 |
| AUM (Assets Under Management) | $ 209,735,339,476 |
Disclosures
| Regulatory Event | 26 |
| Civil Event | 1 |
| Arbitration | 17 |
| Bond | 1 |
Accountant surprise examination report
| Filing Date | Form ADV-E Cover | Form ADV-E Report |
|---|---|---|
| 11/25/2025 | ||
| 03/29/2025 | ||
| 10/28/2024 | ||
| 12/21/2023 |
Red Flags
Disclosures can be potential red flags, including customer disputes, regulatory fines, employer terminations, bankruptcies, judgments, liens, or certain criminal activities.
Check for any disclosures as part of your thorough research when choosing an advisor.
