Elizabeth M. Smoose

NEW YORK, NY 10106

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CRD#: 4973108

Professional summary

Elizabeth M Smoose, who also goes by Elizabeth M. Smoose Esq., Liz Smoose, was a registered financial advisor .

Elizabeth is registered as an IAR (Investment Advisor Representative) and started their career in finance in 2009. Elizabeth had worked at 5 firms and has passed the Series 66, SIE and Series 7 exams.

Question & Answer

Are you a "fiduciary"?

Yes

Aliases

Elizabeth M. Smoose Esq. | Liz Smoose

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.

The advisor shows no other business activity.

Blog Corner

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®

None

Experience

Current

October 14, 2025 - Present

Office #1: 888 7th Avenue Suite 2306, New York, NY 10106

NEW YORK, NY

Past

May 2, 2023 - October 14, 2025

CYNOSURE GROUP, LLC

RIA

CRD#: 281399

New York, NY

Past

June 22, 2022 - May 1, 2023

SVB WEALTH

RIA

CRD#: 172832

New York, NY

Past

January 9, 2018 - June 21, 2022

AJ WEALTH

RIA

CRD#: 161950

NEW YORK, NY

Past

September 25, 2009 - June 2, 2017

GOLDMAN SACHS & CO. LLC

CRD#: 361

NEW YORK, NY

State Registrations and Notice Filings

Listed states reflect where the advisor is authorized to serve clients under state regulations.

IAR

means the advisor is registered as an Investment Advisor Representative in this state and is authorized to provide investment advice to clients there.

Highlighted states indicate IAR registrations

IAR

New York
(10/14/2025)

IAR

Texas
(10/15/2025)

IAR

Utah
(10/14/2025)

Don't see your state listed? The advisor may still be able to work with you under the federal De Minimis Rule, which allows up to five investment advisory clients in a state without registration. Some states, like TX, LA, NE, and NH, may still require registration or notice filing. Contact the advisor or their firm to confirm their investment advisory availability in your state.

Exams

State Security Law Exam

IAR

Series 66

Date: 8/23/2010

Uniform Combined State Law Examination

General Industry/Product Exam

SIE

Date: 6/2/2017

Securities Industry Essentials Examination

General Industry/Product Exam

Series 7

Date: 9/24/2009

General Securities Representative Examination

Current firm

No current employment

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.

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Elizabeth M. Smoose

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary)

Certified licenses

Experience

CYNOSURE GROUP, LLC

SVB WEALTH

AJ WEALTH

GOLDMAN SACHS & CO. LLC

State Registrations and Notice Filings

Exams

Series 66

Date: 8/23/2010

SIE

Date: 6/2/2017

Series 7

Date: 9/24/2009

Current firm

No current employment

Red Flags

Company Information

No current employment

TRUST BUT VERIFY

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