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ED

Etienne Deshormes

ELM CAPITAL USA LIMITED
London, SW1Y 4LR
Some features on this profile are disabled
CRD#: 5811777
ED

Professional summary

Etienne Deshormes is a registered financial professional currently at ELM CAPITAL USA LIMITED .

Etienne is registered as a RR (Registered Representative) and started their career in finance in 2011. Etienne has worked at 1 firm and has passed the Series 63, Series 99TO, SIE, Series 7, Series 14 and Series 24 exams.

top-8-questions

Question & Answer

Are you a "fiduciary"?
No

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) - BD

Click below to view Etienne Deshormes's 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

January 31, 2011 - Present

ELM CAPITAL USA LIMITED

Office #1: 7th Floor, Southwest House 11a Regent Street, St James, London, SW1Y 4LROffice #2: 7th Floor, Southwest House 11a Regent Street, St James, London, SW1Y 4LR
BD
CRD#: 154372
London,

State Registrations and Notice Filings

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

RR
indicates the advisor is registered as a Registered Representative in this state, allowing them to offer securities such as stocks, bonds, and mutual funds through a broker-dealer.

Visual representation of state registrations

RR
Ohio
(2/18/2011)

Exams

State Security Law Exam
RR
Series 63
Date: 4/28/2011
Uniform Securities Agent State Law Examination
General Industry/Product Exam
RR
Series 99TO
Date: 1/2/2023
Operations Professional Examination
General Industry/Product Exam
RR
SIE
Date: 10/1/2018
Securities Industry Essentials Examination
General Industry/Product Exam
RR
Series 7
Date: 10/4/2010
General Securities Representative Examination
Principal/Supervisory Exam
RR
Series 14
Date: 1/2/2023
Compliance Officer Examination
Principal/Supervisory Exam
RR
Series 24
Date: 10/22/2010
General Securities Principal Examination
SRO Registrations
RR
FINRA

Current Firm

EC
ELM CAPITAL USA LIMITED
ELM CAPITAL USA LIMITED

CRD#: 154372 / SEC#: , 8-68633

BD
Broker-Dealer Firm Regulated by FINRA (New York district office)
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Contact information

Main Address
7th Floor, Southwest House 11a Regent Street, St James, London, SW1Y 4LR
Mailing Address
7th Floor, Southwest House 11a Regent Street, St James, London, SW1Y 4LR
Phone number
011 44 207 901 8940
Established
Firm type
Other Types of Legal Formation
Fiscal year end
December
Firm Size
Small
# of Employees

FINRA licenses (2 States and Territories)

Blank US states mapAlaskaHawaiiAlabamaArkansasArizonaCaliforniaColoradoConnecticutDelawareFloridaGeorgiaIowaIdahoIllinoisIndianaKansasKentuckyLouisianaMassachusettsMarylandMaineMichiganMinnesotaMissouriMississippiMontanaNorth CarolinaNorth DakotaNebraskaNew HampshireNew JerseyNew MexicoNevadaNew YorkOhioOklahomaOregonPennsylvaniaRhode IslandSouth CarolinaSouth DakotaTennesseeTexasUtahVirginiaVermontWisconsinWest VirginiaWyoming

Documents

Direct owners and executive officers

NamePositionCRD#
ELM CAPITAL HOLDING LIMITEDHOLDING COMPANY, 100% DIRECT OWNER
DESHORMES, ETIENNECEO / CCO5811777
DORFMAN, ESTEE CARLAFINOP / CFO2696529

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

ELM CAPITAL USA LIMITED

CRD#: 154372London, SW1Y 4LR

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