Elizabeth C. Thompson
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 Coretta Thompson, who also goes by Coretta Glenn, Elizabeth Dalton Glenn, Elizabeth Glenn, was a registered financial professional .
Elizabeth is a previously registered financial professional and started their career in finance in 2017. Elizabeth had worked at 4 firms and has passed the Series 63, SIE and Series 6 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
February 5, 2024 - July 2, 2025
ASSETMARK BROKERAGE, LLC
February 10, 2020 - June 29, 2022
RCH SECURITIES
November 28, 2018 - January 15, 2020
WELLS FARGO CLEARING SERVICES, LLC
May 4, 2017 - June 27, 2018
TIAA-CREF INDIVIDUAL & INSTITUTIONAL SERVICES, 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
Current Firm
ASSETMARK BROKERAGE, LLC
CRD#: 169804 / SEC#: , 8-69391
Contact information
FINRA licenses (53 States and Territories)
Documents
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.
