ES
Elizabeth I. Sawyer Estrade
STIFEL INDEPENDENT ADVISORS
Gulfport, MS 39501
Some features on this profile are disabled
CRD#: 6512338
ES
Professional summary
Elizabeth I Sawyer Estrade, who also goes by Betsey Sawyers Estrade, Elizabeth Estrade Sawyer, Elizabeth I Sawyer, Elizabeth I Sawyer Estrade, is a registered financial advisor currently at STIFEL INDEPENDENT ADVISORS, LLC located in Gulfport, Mississippi.
Elizabeth is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 2020. Elizabeth has worked at 1 firm and has passed the Series 66, Series 7TO and SIE exams.
Question & Answer
Are you a "fiduciary"?
Yes
Aliases
Betsey Sawyers Estrade | Elizabeth Estrade Sawyer | Elizabeth I Sawyer | Elizabeth I Sawyer Estrade
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.
1. Betsey Sawyer Coaching; 24695 Knollwood Drive, Pass Christian, MS 39571; Life Coaching, Academic Coaching; 01/01/2015; 2 Hours per Week; Not During Securities Trading Hours; Not Investment-Related. 2. Rotary Club of Gulfport; 2510 14th Street Gulfport MS PO Box 143; Rotary Club; Committee Member, Dictionary Project; Hand out dictionaries to 3rd grade students at schools in Gulfport; 08/01/2023; 3.00hrs/year; Not during securities trading hours; Not Investment-Related 3. Stella Maris Explorers Club; PO Box 1491 Ocean Springs MS 39566; Catholic Homeschooling nonprofit; Volunteer, Board: Program Expansion Co-Chair; Expand the organization within the Diocese and connect traditional schooling with homeschooling; 10/01/2024; 5 hrs/month; Not during securities trading hours; Not Investment-Related 4. Rotary Club of Gulfport; PO Box 1436 Gulfport, MS 39502; Board Member; Oversee Board decisions. Uncertain at this time; 07/01/2025; 1 hr/week; Not during securities trading hours; Not Investment-Related
CRS (Client Relationship Summary) - RIA
Click below to view Elizabeth I Sawyer Estrade's CRS (Customer Relationship Summary).
CRS (Client Relationship Summary) - BD
Click below to view Elizabeth I Sawyer Estrade'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®
NoneExperience
Current
October 13, 2021 - Present
STIFEL INDEPENDENT ADVISORS, LLC
Office #1: 2304 14th Street, Gulfport, MS 39501RIA
BD
CRD#: 28218
Gulfport, MS
Current
November 12, 2020 - Present
STIFEL INDEPENDENT ADVISORS, LLC
Office #1: 2304 14th Street, Gulfport, MS 39501RIA
BD
CRD#: 28218
Gulfport, MS
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".
SI
STIFEL INDEPENDENT ADVISORS, LLC
CENTURY SECURITIES ASSOCIATES INC | STIFEL INDEPENDENT ADVISORS, LLC | CENTURY SECURITIES ASSOCIATES, INC.
CRD#: 28218 / SEC#: 801-43561, 8-43514
RIA
Registered Investment Advisory firm - SEC (3/19/1993 Approved)BD
Broker-Dealer Firm Regulated by FINRA (Kansas City district office)
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.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
Alabama(3/20/2025)
RR
Mississippi(10/13/2021)
IAR
Mississippi(10/13/2021)
RR
Tennessee(10/9/2023)
RR
Texas(10/17/2025)
IAR
Texas(10/20/2025)
RR
Wyoming(1/31/2023)
Exams
State Security Law Exam
General Industry/Product Exam
RR
Series 7TO
Date: 11/12/2020
General Securities Representative ExaminationGeneral Industry/Product Exam
SRO Registrations
RR
FINRA
Current Firm
SI
STIFEL INDEPENDENT ADVISORS, LLC
CENTURY SECURITIES ASSOCIATES INC | STIFEL INDEPENDENT ADVISORS, LLC | CENTURY SECURITIES ASSOCIATES, INC.
CRD#: 28218 / SEC#: 801-43561, 8-43514
RIA
Registered Investment Advisory firm - SEC (3/19/1993 Approved)BD
Broker-Dealer Firm Regulated by FINRA (Kansas City district office)
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Contact information
Main Address
One Financial Plaza 501 North Broadway, St Louis, MO 63102
Mailing Address
One Financial Plaza 501 North Broadway, St. Louis, MO 63102
Phone number
(314) 342-4051
Established
Missouri since 05/24/2021
Firm type
Limited Liability Company
Fiscal year end
December
Firm Size
Medium
# of Employees
206
SEC notice filing (49 States and Territories)
FINRA licenses (53 States and Territories)
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| STIFEL FINANCIAL CORP. | OWNER-HOLDING COMPANY OWNING 100% | |
| KRUSZEWSKI, RONALD JAMES | CHAIRMAN, STIFEL FINANCIAL | 1434827 |
| BRAUTIGAM, ALLEN COR | PRESIDENT AND CEO | 2400179 |
| BRIGHT, GEOFFREY CLYDE JR | CHIEF COMPLIANCE OFFICER | 4696103 |
| DODSON, CHARLES EDWARD | CCO-ADVISORY SERVICES | 1744430 |
| FISHER, MARK PHILIP | GENERAL COUNSEL | 4970942 |
| MELINGER, ADAM SCOTT | ROSFP | 2373020 |
| NOLL, DOUGLAS WAYNE | PRINCIPAL OPERATIONS OFFICER | 1614129 |
| ROWAN, JAMES FRANCIS | PRINCIPAL FINANCIAL OFFICER | 1976998 |
| ZEMLYAK, JAMES MARK | MANAGER, BOARD OF MANAGERS | 1586132 |
Regulatory assets under management
| Total Number of Accounts | 11,648 |
| AUM (Assets Under Management) | $ 4,379,138,273 |
Disclosures
| Regulatory Event | 3 |
| Arbitration | 1 |
Accountant surprise examination report
| Filing Date | Form ADV-E Cover | Form ADV-E Report |
|---|---|---|
| 08/20/2024 | ||
| 09/28/2023 | ||
| 11/28/2022 |
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.
