Elizabeth G. Duhamel
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 Griffin Duhamel, who also goes by Elizabeth G Du Hamel, Betsy Griffin Duhamel, Elizabeth G Duhamel, Elizabeth G. Duhamel Ms, Elizabeth G. Duhamel, was a registered financial professional .
Elizabeth is a previously registered financial professional and started their career in finance in 2003. Elizabeth had worked at 5 firms and has passed the Series 63, SIE and Series 7 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
September 3, 2015 - June 2, 2016
CAROLINA FINANCIAL SECURITIES, LLC
December 17, 2010 - August 27, 2013
PURSHE KAPLAN STERLING INVESTMENTS
November 2, 2007 - December 22, 2008
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
May 25, 2004 - November 15, 2007
CITIGROUP GLOBAL MARKETS INC.
September 22, 2003 - May 27, 2004
J.P. MORGAN SECURITIES LLC
State Registrations and Notice Filings
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Visual representation of state registrations
Exams
Current Firm
CAROLINA FINANCIAL SECURITIES, LLC
CRD#: 41970 / SEC#: , 8-49653
Contact information
FINRA licenses (20 States and Territories)
Disclosures
| Regulatory Event | 5 |
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.
