Elizabeth L. Hennessee
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 Lee Hennessee, who also goes by Lee Gradante, Elizabeth Lee, was a registered financial professional .
Elizabeth is a previously registered financial professional and started their career in finance in 1976. Elizabeth had worked at 9 firms and has passed the Series 65, Series 63, PC, 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
November 6, 2012 - August 1, 2013
GROWTH CAPITAL SERVICES, INC.
December 23, 2009 - January 3, 2011
LINKBROKERS DERIVATIVES LLC
January 4, 2007 - December 31, 2008
HENNESSEE HEDGE FUND ADVISORY GROUP
May 22, 2002 - October 27, 2006
COWEN EXECUTION SERVICES LLC
March 23, 1995 - April 5, 2002
BOSTON PARTNERS SECURITIES, L.L.C.
July 31, 1993 - December 2, 1993
CITIGROUP GLOBAL MARKETS INC.
April 11, 1988 - July 31, 1993
LEHMAN BROTHERS INC.
February 11, 1987 - April 11, 1988
E. F. HUTTON & COMPANY INC
June 24, 1976 - February 18, 1987
THOMSON MCKINNON SECURITIES INC.
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
PC
Date: 9/7/1977
AMEX Put and Call ExamCurrent Firm
GROWTH CAPITAL SERVICES, INC.
CRD#: 124658 / SEC#: , 8-65705
Contact information
FINRA licenses (1 States and Territories)
Disclosures
| Regulatory Event | 3 |
| Financial | 1 |
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.
