Elizabeth A. Puma
Professional summary
Elizabeth Ann Puma, who also goes by Elizabeth Ann Mcgowan, Elizabeth An Puma, is a registered financial professional currently at KESTRA INVESTMENT SERVICES, LLC located in Red Bank, New Jersey.
Elizabeth is registered as a RR (Registered Representative) and started their career in finance in 1981. Elizabeth has worked at 9 firms and has passed the Series 63, SIE and Series 7 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary) - BD
Click below to view Elizabeth Ann Puma's CRS (Customer Relationship Summary).
Certified licenses
Experience
July 1, 2010 - Present
KESTRA INVESTMENT SERVICES, LLC
Office #1: 188 E Bergen Place Suite 103-104, Red Bank, NJ 07701March 31, 2006 - July 15, 2010
OSAIC FA, INC.
March 3, 2003 - July 19, 2004
FIRST MONTAUK SECURITIES CORP.
February 1, 2000 - May 3, 2001
LEGG MASON WOOD WALKER, INCORPORATED
November 18, 1999 - January 12, 2000
PRUDENTIAL EQUITY GROUP, LLC
June 15, 1993 - June 28, 1999
PERSHING LLC
April 17, 1990 - March 23, 1993
KIDDER, PEABODY & CO. INCORPORATED
February 21, 1989 - March 5, 1990
DREXEL BURNHAM LAMBERT GOVERNMENT SECURITIES INC.
April 13, 1981 - March 5, 1990
DREXEL BURNHAM LAMBERT INCORPORATED
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
Visual representation of state registrations
(7/1/2010)
Exams
FINRA
Current Firm
KESTRA INVESTMENT SERVICES, LLC
CRD#: 42046 / SEC#: , 8-49672
Contact information
FINRA licenses (53 States and Territories)
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| KESTRA FINANCIAL, INC | SOLE MEMBER | |
| AMORE, JOHN VINCENT | PRESIDENT | 5430932 |
| CHESTER, KRISTEN LAWLESS | CHIEF OPERATING OFFICER, EXECUTIVE VICE PRESIDENT | 6896952 |
| KANT, VINAY | CHIEF DIGITAL TECHNOLOGY OFFICER | 7976827 |
| PEDLOW, MICHAEL ROSS | CHIEF COMPLIANCE OFFICER, EXECUTIVE VICE PRESIDENT | 4871563 |
| POER, JAMES LYNN | CHIEF EXECUTIVE OFFICER | 1983357 |
| SCHOENBECK, MARK PAUL | EXECUTIVE VICE PRESIDENT | 2625829 |
| YIN, YIN | CONTROLLER | 3219513 |
| ZEGERS, SCOTT MATTHEW | CHIEF FINANCIAL OFFICER | 4831659 |
Disclosures
| Regulatory Event | 14 |
| Arbitration | 2 |
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.
