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EH

Elizabeth J. Hugen

Some features on this profile are disabled
CRD#: 5966626
EH

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 Jean Hugen, who also goes by Betsy Hugen, Elizabeth Hugen, Betsy Shuff, Elizabeth Jean Shuff, was a registered financial professional .

Elizabeth is a previously registered financial professional and started their career in finance in 2011. Elizabeth had worked at 3 firms and has passed the SIE and Series 6 exams.

top-8-questions

Question & Answer

Are you a "fiduciary"?
No

Aliases

Betsy Hugen | Elizabeth Hugen | Betsy Shuff | Elizabeth Jean Shuff

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

Past

October 31, 2019 - March 26, 2024

ALLIANCE-ONE INVESTMENTS, LLC

BD
CRD#: 286025
West Des Moines, IA
Past

September 6, 2016 - October 31, 2019

METLIFE INVESTORS DISTRIBUTION COMPANY

BD
CRD#: 107622
West Des Moines, IA
Past

October 24, 2012 - June 26, 2014

NEW ENGLAND SECURITIES

BD
CRD#: 615
WEST DES MOINES, IA
Past

October 26, 2011 - June 17, 2015

METLIFE INVESTORS DISTRIBUTION COMPANY

BD
CRD#: 107622
WEST DES MOINES, IA

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

General Industry/Product Exam
RR
SIE
Date: 10/1/2018
Securities Industry Essentials Examination
General Industry/Product Exam
RR
Series 6
Date: 10/25/2011
Investment Company Products/Variable Contracts Representative Examination

Current Firm

AI
ALLIANCE-ONE INVESTMENTS, LLC
ALLIANCE-ONE INVESTMENTS, LLC

CRD#: 286025 / SEC#: , 8-69868

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

Main Address
4000 N Mingo Rd, Tulsa, OK 74116
Mailing Address
4000 N Mingo Rd, Tulsa, OK 74116
Phone number
(918) 281-1820
Established
Delaware since 10/20/2016
Firm type
Limited Liability Company
Fiscal year end
March
Firm Size
Medium
# of Employees

Documents

Direct owners and executive officers

NamePositionCRD#
ALLIANCE-ONE HOLDINGS, LLCSOLE MEMBER
ARBO, WILLIAM CHARLESCEO/CHIEF FINANCIAL OFFICER1773016
TOOMEY, JAY ALANCHIEF COMPLIANCE OFFICER2514959

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

ALLIANCE-ONE INVESTMENTS, LLC

CRD#: 286025

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