Elizabeth A. Mastrobattisto
Professional summary
Elizabeth Anne Mastrobattisto, who also goes by Elizabeth Anne Basile, Liz Anne Basile, is a registered financial professional currently at GUIDELINE SECURITIES, LLC located in Aliso Viejo, California.
Elizabeth is registered as a RR (Registered Representative) and started their career in finance in 2009. Elizabeth has worked at 7 firms and has passed the Series 99TO, SIE, Series 7 and Series 24 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary) - BD
Click below to view Elizabeth Anne Mastrobattisto's CRS (Customer Relationship Summary).
Certified licenses
Experience
June 18, 2025 - Present
GUIDELINE SECURITIES, LLC
May 29, 2020 - December 4, 2020
KARMEQ, LLC
May 8, 2020 - December 4, 2020
BROOKLANDS CAPITAL STRATEGIES BD, LP
February 27, 2015 - November 30, 2018
CIRCLEUP
April 26, 2013 - March 4, 2015
MFS FUND DISTRIBUTORS, INC.
February 10, 2011 - April 18, 2013
CAMBRIDGE INVESTMENT RESEARCH, INC.
September 15, 2009 - November 8, 2010
EQUITABLE ADVISORS, LLC
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
Series 99TO
Date: 6/18/2025
Operations Professional ExaminationFINRA
Current Firm
GUIDELINE SECURITIES, LLC
CRD#: 332412 / SEC#: , 8-71305
Contact information
FINRA licenses (1 States and Territories)
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| GUIDELINE HOLDINGS, LLC | SOLE MEMBER | |
| LIU, QIAN | CHIEF EXECUTIVE OFFICER | 5562584 |
| MASTROBATTISTO, ELIZABETH ANNE | CHIEF COMPLIANCE OFFICER | 5667446 |
| MEYERS, CHRISTOPHER M JR | FINANCIAL AND OPERATIONS PRINCIPAL, PRINCIPAL FINANCIAL OFFICER | 6122487 |
| WISNIEWSKI, JONATHAN BRUCE | PRINCIPAL OPERATIONS OFFICER | 6011199 |
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.
