Elizabeth M. Tractenberg
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.
Elizabeth Marie Tractenberg, who also goes by Elizabeth Marie Walter, was a registered financial professional .
Elizabeth is a previously registered financial professional and started their career in finance in 2003. Elizabeth had worked at 28 firms and has passed the Series 99TO, SIE and Series 27 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
April 17, 2014 - April 7, 2015
PRIVEX SECURITIES, INC.
November 5, 2013 - May 12, 2022
LYNX CAPITAL, LLC
August 13, 2013 - October 3, 2013
LYNX CAPITAL, LLC
September 20, 2012 - June 5, 2015
FIRST MIDWEST SECURITIES, INC.
October 11, 2011 - May 7, 2013
ECHELON CAPITAL
September 15, 2011 - April 4, 2012
SH INVESTMENT & SECURITIES
August 31, 2011 - April 5, 2012
MARKEL NEWTON
August 3, 2011 - February 5, 2016
STEELPOINT SECURITIES, LLC
April 7, 2010 - May 13, 2022
HUDSON CAPITAL ADVISORS BD LLC
May 7, 2009 - February 18, 2011
GB INVESTMENT SECURITIES, INC.
July 31, 2008 - May 15, 2012
LYNX CAPITAL, LLC
February 27, 2008 - October 4, 2010
TRICOR FINANCIAL, LLC
March 1, 2007 - May 1, 2009
TRITON PACIFIC CAPITAL, LLC
January 5, 2007 - December 21, 2009
DOLPHIN SECURITIES, INC.
September 20, 2006 - September 14, 2009
CRYSTAL COVE CAPITAL LLC
August 29, 2006 - August 13, 2009
PETRUZZI SECURITIES, LLC
June 30, 2006 - July 31, 2006
MBROKER, INC.
March 20, 2006 - December 5, 2014
WAVEEDGE PARTNERS LLC
February 14, 2006 - March 14, 2012
COURTLANDT SECURITIES CORPORATION
November 3, 2005 - April 16, 2008
US EURO SECURITIES, INC
September 2, 2005 - August 26, 2022
SKYVIEW INVESTMENT BANKING
August 11, 2005 - February 9, 2015
ANGELES CAPITAL GROUP, LLC
August 9, 2005 - April 23, 2008
FUSION ANALYTICS SECURITIES LLC
August 8, 2005 - November 24, 2006
TZERO SECURITIES, LLC
April 25, 2005 - April 3, 2012
MOSAIC CAPITAL SECURITIES, LLC
February 28, 2005 - May 20, 2022
RIDGEVIEW CAPITAL, LLC
January 11, 2005 - July 22, 2008
MAM SECURITIES, LLC
June 8, 2004 - January 30, 2008
AFA FINANCIAL GROUP, LLC
January 16, 2004 - March 23, 2023
MARV CAPITAL INC.
January 31, 2003 - February 2, 2009
B.B. GRAHAM & COMPANY, 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
Exams
Series 99TO
Date: 1/2/2023
Operations Professional ExaminationCurrent Firm
PRIVEX SECURITIES, INC.
CRD#: 165361 / SEC#: , 8-69156
Contact information
Documents
Direct owners and executive officers
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.
