Elizabeth E. Pettee

PETTEE INVESTORS

Rowayton, CT 06853

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CRD#: 7873299

Professional summary

Elizabeth Elaine Pettee, who also goes by Lizzie Pettee, is a registered financial advisor currently at PETTEE INVESTORS INC located in Rowayton, Connecticut.

Elizabeth is registered as an IAR (Investment Advisor Representative) and started their career in finance in 2024. Elizabeth has worked at 1 firm and has passed the Series 65 and SIE exams.

Question & Answer

Are you a "fiduciary"?

Yes

Aliases

Lizzie Pettee

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.

LM Consulting Group; not investment-related; 133 Rowayton Avenue, Unit C, Norwalk, CT 06853; LM Consulting Group was conceived in response to the growing demand for Greens Ledge Light Preservation Society volunteer staff to provide comprehensive consulting services for the restoration, preservation, ongoing management, and strategic marketing of other historic lighthouses across the United States; Senior Consultant; volunteer employee (pro-bono); 07/2023; 160 hours/month; 0 hours during securities trading hours; executes tactical communications strategy for clients and supports day-to-day and long-term marketing programs while serving as a trusted advisor to client leadership, business, and other key stakeholders.

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Elizabeth Elaine Pettee's CRS (Customer Relationship Summary).

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®

None

Experience

Current

May 29, 2024 - Present

PETTEE INVESTORS INC

Office #1: 137 Rowayton Avenue Suite 430, Rowayton, CT 06853

RIA

CRD#: 105553

Rowayton, CT

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".

PETTEE INVESTORS INC

CRD#: 105553 / SEC#: 801-34750

RIA

Registered Investment Advisory firm - (7/6/1989 Approved)

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.

Highlighted states indicate IAR registrations

IAR

Connecticut
(5/29/2024)

Don't see your state listed? The advisor may still be able to work with you under the federal De Minimis Rule, which allows up to five investment advisory clients in a state without registration. Some states, like TX, LA, NE, and NH, may still require registration or notice filing. Contact the advisor or their firm to confirm their investment advisory availability in your state.

Exams

State Security Law Exam

IAR

Series 65

Date: 5/28/2024

Uniform Investment Adviser Law Examination

General Industry/Product Exam

SIE

Date: 2/7/2024

Securities Industry Essentials Examination

Current Firm

PETTEE INVESTORS INC

CRD#: 105553 / SEC#: 801-34750

RIA

Registered Investment Advisory firm - (7/6/1989 Approved)

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Contact information

Main Address

137 Rowayton Avenue Suite 430, Rowayton, CT 06853

Mailing Address

P.o. Box 327, Rowayton, CT 06853

Phone number

(203) 957-8880

Established

Firm type

Fiscal year end

# of Employees

SEC notice filing (1 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)

Latest Form ADV

Part 2 Brochures

PETTEE INVESTORS, INC. FORM ADV PART 2A (MARCH3, 2025) (3/3/2025)

Regulatory assets under management

Total Number of Accounts	71
AUM (Assets Under Management)	$ 211,917,130

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.

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Elizabeth E. Pettee

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Elizabeth Elaine Pettee's CRS (Customer Relationship Summary).

Certified licenses

Experience

PETTEE INVESTORS INC

Primary Firm SEC Registration

PETTEE INVESTORS INC

State Registrations and Notice Filings

Exams

Series 65

Date: 5/28/2024

SIE

Date: 2/7/2024

Current Firm

PETTEE INVESTORS INC

Contact information

SEC notice filing (1 States and Territories)

Documents

Part 2 Brochures

Regulatory assets under management

Red Flags

Company Information

PETTEE INVESTORS INC

TRUST BUT VERIFY

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