Elisa D. Syken
Professional summary
Elisa Dale Syken was barred by the FINRA from acting as a broker or investment advisor or otherwise associating with a broker-dealer firm.
Elisa is a previously registered financial professional and started their career in finance in 1980. Prior to being barred, Elisa had worked at 3 firms, which includes FIRST UNION BROKERAGE SERVICES INC., DIS-COM SECURITIES INC., BALOGH SECURITIES INC..
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
July 24, 1987 - October 14, 1999
FIRST UNION BROKERAGE SERVICES, INC.
June 3, 1982 - July 31, 1987
DIS-COM SECURITIES, INC.
October 24, 1980 - October 1, 1982
BALOGH SECURITIES, INC.
State Registrations and Notice Filings
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Visual representation of state registrations
Exams
Current Firm
FIRST UNION BROKERAGE SERVICES, INC.
CRD#: 8112 / SEC#: , 8-24369
Contact information
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| FIRST UNION NATIONAL BANK | STOCKHOLDER | |
| BONELLI, PAUL ANDREW | SROP | 1538780 |
| FOX, JEFFREY LAWRENCE | CHIEF FINANCIAL OFFICER | 1787925 |
| HANEY, PATRICK LEWIS | CHIEF COMPLIANCE OFFICER | 2565826 |
| HEBNER, DAVID ALLAN | SECRETARY | 2660723 |
| HUBBERT, MARK WILLIAM | CHIEF OPERATIONS OFFICER | 1802805 |
| ISABELLA, MATTHEW | CROP | 2425834 |
| LUDEMAN, DANIEL JAMES | DIRECTOR | |
| MCMULLEN, DONALD ANDREW | DIRECTOR | |
| MOODY, DWIGHT CHARLES | CEO, DIRECTOR, PRESIDENT | 1423176 |
Disclosures
| Regulatory Event | 18 |
| Arbitration | 2 |
Red Flags
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