Elliot J. Turner

RGA INVESTMENT ADVISORS

STAMFORD, CT 06905

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CRD#: 5593722

Professional summary

Elliot J Turner is a registered financial advisor currently at RGA INVESTMENT ADVISORS, LLC located in Stamford, Connecticut.

Elliot is registered as an IAR (Investment Advisor Representative) and started their career in finance in 2011. Elliot has worked at 3 firms and has passed the Series 65 exam.

Question & Answer

Are you a "fiduciary"?

Yes

Aliases

None

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) - RIA

Click below to view Elliot J Turner's CRS (Customer Relationship Summary).

CRS (Customer Relationship Summary)

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

August 12, 2013 - Present

RGA INVESTMENT ADVISORS, LLC

Office #1: 1177 High Ridge Road, Stamford, CT 06905

RIA

CRD#: 149171

STAMFORD, CT

Past

May 26, 2011 - February 3, 2012

AUSTINWESTON ASSET MANAGEMENT LLC

RIA

CRD#: 155679

NEW YORK, NY

Past

April 8, 2011 - April 29, 2011

CHIMERA SECURITIES, LLC

CRD#: 147566

NEW YORK, NY

Primary Firm SEC Registration

This SEC-registered firm can serve clients nationwide. Some states may require the firm to submit a notice filing if the firm has more than 5 clients or a physical office there. You can view these state-level filings under the section titled "State Registrations and Notice Filings".

RGA INVESTMENT ADVISORS, LLC

RGA ADVISORS, LLC | RGA INVESTMENT ADVISORS, LLC

CRD#: 149171 / SEC#: 801-121126

RIA

Registered Investment Advisory firm - (5/6/2021 Approved)

Connecticut

Registered Investment Advisory firm - (9/1/2021 Terminated)

New Jersey

Registered Investment Advisory firm - (8/23/2021 Terminated)

New York

Registered Investment Advisory firm - (8/23/2021 Terminated)

Why is a state registration marked "Terminated"? When a firm registers with the SEC (usually after managing $100M+ AUM), it often withdraws separate state firm registrations unless required by that state. The firm can still serve clients there through its individually registered Investment Advisor Representatives (IARs).

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

Connecticut
(8/12/2013)

IAR

New Jersey
(8/20/2013)

IAR

New York
(6/9/2021)

IAR

Texas
(5/26/2021)

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 65

Date: 5/13/2011

Uniform Investment Adviser Law Examination

Current Firm

RGA INVESTMENT ADVISORS, LLC

RGA ADVISORS, LLC | RGA INVESTMENT ADVISORS, LLC

CRD#: 149171 / SEC#: 801-121126

RIA

Registered Investment Advisory firm - (5/6/2021 Approved)

Connecticut

Registered Investment Advisory firm - (9/1/2021 Terminated)

New Jersey

Registered Investment Advisory firm - (8/23/2021 Terminated)

New York

Registered Investment Advisory firm - (8/23/2021 Terminated)

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Contact information

Main Address

185 Great Neck Road Suite 306, Great Neck, NY 11021

Mailing Address

Phone number

(516) 665-1945

Established

Firm type

Fiscal year end

# of Employees

SEC notice filing (8 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)

Latest Form ADV

Part 2 Brochures

ADV II (3/27/2025)

ELLIOT TURNER 2B (3/27/2025)

JASON GILBERT 2B (3/27/2025)

Regulatory assets under management

Total Number of Accounts	298
AUM (Assets Under Management)	$ 107,310,593

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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Elliot J. Turner

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Elliot J Turner's CRS (Customer Relationship Summary).

Certified licenses

Experience

RGA INVESTMENT ADVISORS, LLC

AUSTINWESTON ASSET MANAGEMENT LLC

CHIMERA SECURITIES, LLC

Primary Firm SEC Registration

RGA INVESTMENT ADVISORS, LLC

State Registrations and Notice Filings

Exams

Series 65

Date: 5/13/2011

Current Firm

RGA INVESTMENT ADVISORS, LLC

Contact information

SEC notice filing (8 States and Territories)

Documents

Part 2 Brochures

Regulatory assets under management

Red Flags

Company Information

RGA INVESTMENT ADVISORS, LLC

TRUST BUT VERIFY

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