Eliza V. Kohlhas
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.
Eliza Virginia Kohlhas, who also goes by Eliza VIrginia Cave, Eliza Kohlhas Ciapponi, Eliza Virginia Ciapponi, Eliza Kohlhas, Eliza Virginia Turner, was a registered financial professional .
Eliza is a previously registered financial professional and started their career in finance in 1981. Eliza had worked at 7 firms and has passed the Series 66, Series 65, Series 63, SIE, Series 7 and Series 24 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
September 28, 2017 - March 5, 2018
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
September 28, 2017 - March 5, 2018
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
June 16, 2011 - October 2, 2017
J.P. MORGAN SECURITIES LLC
June 15, 2011 - October 2, 2017
J.P. MORGAN SECURITIES LLC
June 5, 2009 - July 12, 2010
GBS FINANCIAL CORP.
February 13, 2008 - May 7, 2009
CITIGROUP GLOBAL MARKETS INC.
March 16, 2007 - May 30, 2007
GBS FINANCIAL CORP.
February 4, 2003 - May 20, 2003
SOCIAL CAPITAL PARTNER'S INC.
September 8, 1998 - March 14, 2001
CITIGROUP GLOBAL MARKETS INC.
October 17, 1996 - June 24, 1998
CITIGROUP GLOBAL MARKETS INC.
November 17, 1995 - July 8, 1996
CITIGROUP GLOBAL MARKETS INC.
August 27, 1993 - December 22, 1993
CITIGROUP GLOBAL MARKETS INC.
August 2, 1983 - December 18, 1984
MONTGOMERY SECURITIES
October 9, 1981 - September 23, 1982
L. F. ROTHSCHILD & CO. INCORPORATED
Primary Firm SEC Registration
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
CRD#: 7691 / SEC#: 801-14235, 8-7221
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
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
CRD#: 7691 / SEC#: 801-14235, 8-7221
Contact information
SEC notice filing (49 States and Territories)
FINRA licenses (53 States and Territories)
Documents
Part 2 Brochures
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| BAC NORTH AMERICA HOLDING COMPANY | SHAREHOLDER | |
| AXELROD, SUSAN F | CHIEF COMPLIANCE OFFICER | 6949587 |
| FAHMY, NANCY MONIR | DIRECTOR | 2689751 |
| GELLENE, MATTHEW THOMAS | DIRECTOR | 1977160 |
| HANS, LINDSAY DENARDO | STATE DESIGNATED PRINCIPAL & DIRECTOR | 4429443 |
| HEATON, DAVID CARLETON JR | CHIEF LEGAL OFFICER | 5972432 |
| MOONEY, SARA RATHBONE | CHIEF FINANCIAL OFFICER | 7616382 |
| SABBIA, LORNA ROSE | DIRECTOR | 1873495 |
| SANTANNA, VINCENT C. | CHIEF OPERATIONS OFFICER & FINOP | 5290525 |
| SCHIMPF, ERIC A | DIRECTOR & CHIEF EXECUTIVE OFFICER, STATE DESIGNATED PRINCIPAL | 2494318 |
Regulatory assets under management
| Total Number of Accounts | 3,085,811 |
| AUM (Assets Under Management) | $ 1,511,090,925,436 |
Disclosures
| Regulatory Event | 610 |
| Civil Event | 4 |
| Arbitration | 878 |
Accountant surprise examination report
| Filing Date | Form ADV-E Cover | Form ADV-E Report |
|---|---|---|
| 11/25/2024 | ||
| 08/24/2023 | ||
| 01/27/2023 |
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.
