Elizabeth B. Turpin
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 Brittingham Turpin, CFP®, who also goes by Elizabeth Brittingham Turpin, Liz Brittingham Turpin, Liz Turpin, Elizabeth Turpin, was a registered financial professional .
Elizabeth is a previously registered financial professional and started their career in finance in 2014. Elizabeth had worked at 3 firms and has passed the Series 66, Series 7TO, SIE and Series 7 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
March 3, 2022 - June 6, 2023
GUARDIANWEALTH INC.
December 6, 2018 - February 26, 2021
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
December 6, 2018 - February 26, 2021
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
June 26, 2014 - December 17, 2018
UBS FINANCIAL SERVICES INC.
May 28, 2014 - December 17, 2018
UBS FINANCIAL SERVICES INC.
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 7TO
Date: 12/22/2022
General Securities Representative ExaminationCurrent Firm
GUARDIANWEALTH INC.
CRD#: 310012 / SEC#: 801-119643
Contact information
Regulatory assets under management
| Total Number of Accounts | 5 |
| AUM (Assets Under Management) | $ 10,000 |
Red Flags
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