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Elizabeth S. Sabin

Some features on this profile are disabled
CRD#: 4982929
ES

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 Sather Sabin, CFP®, who also goes by Elizabeth S Sabin, Elizabeth Sabin, was a registered financial professional .

Elizabeth is a previously registered financial professional and started their career in finance in 2013. Elizabeth had worked at 5 firms and has passed the Series 63, Series 65, Series 7TO, SIE, Series 7 and Series 24 exams.

top-8-questions

Question & Answer

Are you a "fiduciary"?
No

Aliases

Elizabeth S Sabin | Elizabeth Sabin

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.
1)Name: BrightUp; Investment-related: No; Address: https://getbrightup.com/; Nature of business: start up focused on financial education, coaching, and wellness for the masses; Position/title/duties: Advisor to business; Start date: 1/17/22; Approx hrs/month: 5 2)Name: Cordelia Capital Holdings Inc.n; Investment related: No; Address: 100 S Saunders Rd, Suite 150, Lake Forest, IL 6004: Nature of business: For-profit business that offers in-person and online DEI (diversity and inclusion) training to companies; Position/title/duties: Board Member; Start date: 2/1/22; Aprox hrs/month: 10

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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®
CFP®

Certified Financial Planner

Experience

Past

May 7, 2020 - May 18, 2022

CAPITAL ONE INVESTING, INC.

RIA
CRD#: 285084
McLean, VA
Past

January 18, 2019 - April 17, 2020

PRUDENTIAL SELECT STRATEGIES LLC

RIA
CRD#: 286153
Newark, NJ
Past

August 13, 2018 - April 17, 2020

PRUCO SECURITIES, LLC.

BD
CRD#: 5685
NEWARK, NJ
Past

February 26, 2014 - March 6, 2017

TD AMERITRADE INVESTMENT MANAGEMENT, LLC

RIA
CRD#: 111514
Jersey City, NJ
Past

August 2, 2013 - March 6, 2017

TD AMERITRADE, INC.

RIA
CRD#: 7870
Jersey City, NJ
Past

July 17, 2013 - March 6, 2017

TD AMERITRADE, INC.

BD
CRD#: 7870
JERSEY CITY, NJ

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
RR
Series 63
Date: 2/14/2019
Uniform Securities Agent State Law Examination
State Security Law Exam
IAR
Series 65
Date: 10/9/2018
Uniform Investment Adviser Law Examination
General Industry/Product Exam
RR
Series 7TO
Date: 11/18/2022
General Securities Representative Examination
General Industry/Product Exam
RR
SIE
Date: 10/1/2018
Securities Industry Essentials Examination
General Industry/Product Exam
RR
Series 7
Date: 7/17/2013
General Securities Representative Examination
Principal/Supervisory Exam
RR
Series 24
Date: 11/18/2022
General Securities Principal Examination

Current Firm

CO
CAPITAL ONE INVESTING, INC.
CAPITAL ONE INVESTING, INC. | UNITED INCOME, INC.

CRD#: 285084 / SEC#: 801-111630

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Contact information

Main Address
1600 Capital One Drive 22nd Floor, Mclean, VA 22102
Mailing Address
Phone number
(202) 539-1039
Established
Firm type
Fiscal year end
# of Employees
73

Documents

Latest Form ADV

Part 2 Brochures

UNITED INCOME, INC. - FORM ADV PART 2A APPENDIX 1_UIWP (MARCH 30, 2020) (3/31/2022)

Regulatory assets under management

Total Number of Accounts1,089
AUM (Assets Under Management)$ 920,140,975

Accountant surprise examination report

Filing DateForm ADV-E CoverForm ADV-E Report
01/28/2022
Cover Page
Report

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.

Company Information

CAPITAL ONE INVESTING, INC.

CRD#: 285084

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