Elaine M. Call
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.
Elaine Michelle Call, who also goes by Elaine Michelle Bartholomeusz, Elaine Call, Michelle Call, Elaine M Call, was a registered financial professional .
Elaine is a previously registered financial professional and started their career in finance in 2005. Elaine had worked at 5 firms and has passed the Series 66, 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
February 10, 2021 - November 9, 2021
CUNA BROKERAGE SERVICES, INC.
February 9, 2021 - November 9, 2021
CUNA BROKERAGE SERVICES, INC.
July 14, 2017 - November 16, 2020
WELLS FARGO CLEARING SERVICES, LLC
June 5, 2017 - November 16, 2020
WELLS FARGO CLEARING SERVICES, LLC
October 1, 2012 - December 31, 2013
J.P. MORGAN SECURITIES LLC
October 1, 2012 - December 31, 2013
J.P. MORGAN SECURITIES LLC
December 7, 2006 - October 1, 2012
CHASE INVESTMENT SERVICES CORP.
December 7, 2006 - October 1, 2012
CHASE INVESTMENT SERVICES CORP.
November 13, 2006 - December 6, 2006
EDWARD JONES
March 7, 2005 - December 6, 2006
EDWARD JONES
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
Current Firm
CUNA BROKERAGE SERVICES, INC.
CRD#: 13941 / SEC#: 801-60099, 8-30027
Contact information
FINRA licenses (52 States and Territories)
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| CUNA MUTUAL INVESTMENT CORPORATION | OWNER | |
| BARBATO, PAUL DAMIEN | SENIOR VICE PRESIDENT | 7064310 |
| BOAN, JOSEPH SALVATORE | PRESIDENT/DIRECTOR | 2379993 |
| BROCK, JENNY MARIE | TREASURER | 6654483 |
| COPELAND, CHRISTOPHER JUDD | DIRECTOR | 6437117 |
| HABERSTICH, MELISSA M | CHIEF COMPLIANCE OFFICER | 4190838 |
| KARLS, WILLIAM ANTON | DIRECTOR | 6847792 |
| POPPE, CHRISTINE ELIZABETH | LICENSING OFFICER | 4080909 |
| SCHULTZ, TAMMY LYNN | DIRECTOR | 7991087 |
| THOMAS, BARTH T | SECRETARY/DIRECTOR | 2849100 |
Regulatory assets under management
| Total Number of Accounts | 20,233 |
| AUM (Assets Under Management) | $ 5,790,352,615 |
Disclosures
| Regulatory Event | 5 |
| Arbitration | 6 |
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.
