Elizabeth T. Hugus
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 Thomas Hugus, who also goes by Elizabeth Anne Thomas, Liz Thomas, was a registered financial professional .
Elizabeth is a previously registered financial professional and started their career in finance in 1976. Elizabeth had worked at 13 firms and has passed the Series 63, Series 7 and Series 00 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
January 5, 2006 - September 29, 2006
WESTPORT SECURITIES, L.L.C.
May 19, 2005 - November 13, 2018
RESNICK ADVISORS
August 11, 2004 - March 7, 2005
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
August 10, 2004 - March 7, 2005
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
July 2, 1998 - August 20, 2004
UBS FINANCIAL SERVICES INC.
February 3, 1998 - May 22, 1998
CITIGROUP GLOBAL MARKETS INC.
October 13, 1993 - March 4, 1997
ADVEST, INC.
May 8, 1990 - October 4, 1993
A. G. EDWARDS & SONS, INC.
June 5, 1989 - March 6, 1990
GRUNTAL & CO., L.L.C.
September 10, 1985 - June 20, 1989
LEHMAN BROTHERS INC.
March 14, 1985 - September 13, 1985
JII SECURITIES INC.
June 27, 1984 - June 20, 1989
LEHMAN BROTHERS INC.
October 20, 1982 - December 23, 1986
DAIN RAUSCHER INCORPORATED
October 23, 1980 - June 23, 1993
SHEARMAN, RALSTON INC.
February 23, 1976 - April 20, 1977
DIAMANT INVESTMENT CORPORATION
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
Series 00
Date: 11/17/1975
General Securities Principal ExaminationCurrent Firm
WESTPORT SECURITIES, L.L.C.
CRD#: 46113 / SEC#: , 8-51312
Contact information
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.
