Elizabeth A. Shockley
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 Amy Shockley, who also goes by Elizabeth Amy Demers, Elizabeth Demers, was a registered financial professional .
Elizabeth is a previously registered financial professional and started their career in finance in 1977. Elizabeth had worked at 17 firms and has passed the Series 66, Series 63, SIE, Series 7, Series 52 and Series 1 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
February 11, 2014 - June 1, 2016
CETERA INVESTMENT ADVISERS LLC
June 20, 2013 - February 5, 2014
CETERA INVESTMENT SERVICES LLC
June 18, 2013 - June 1, 2016
CETERA INVESTMENT SERVICES LLC
August 20, 2012 - June 4, 2013
BB&T INVESTMENT SERVICES, INC.
June 18, 2012 - June 4, 2013
BB&T INVESTMENT SERVICES, INC.
April 4, 2007 - August 5, 2011
FIFTH THIRD SECURITIES, INC.
January 26, 2005 - August 25, 2006
AMSOUTH INVESTMENT SERVICES, INC.
August 3, 1998 - April 7, 2000
IFMG SECURITIES, INC.
January 30, 1996 - August 3, 1998
INDEPENDENT FINANCIAL SECURITIES, INC.
June 20, 1995 - January 11, 2005
SOUTHTRUST SECURITIES, LLC
February 15, 1995 - June 8, 1995
SOUTHTRUST INVESTMENT SERVICES, INC.
August 19, 1994 - February 16, 1995
FIRST UNION BROKERAGE SERVICES, INC.
April 13, 1989 - August 3, 1994
CAPITAL BROKERAGE CORPORATION
May 22, 1985 - April 5, 1988
UNDERWOOD, NEUHAUS & CO., INCORPORATED
February 5, 1985 - April 10, 1985
BEVILL, BRESLER & SCHULMAN INCORPORATED
September 3, 1982 - January 31, 1985
DONALD SHELDON & CO., INC.
October 20, 1981 - August 20, 1982
WESTCAP SECURITIES, L.P.
January 29, 1980 - June 30, 1980
MARSHALL AND MEYER BROKERAGE SERVICES, INC.
May 1, 1979 - November 23, 1979
HANAUER, STERN & COMPANY,INCORPORATED
December 20, 1977 - March 5, 1979
MARSHALL AND MEYER BROKERAGE SERVICES, INC.
Primary Firm SEC Registration
CETERA INVESTMENT ADVISERS LLC
CRD#: 105644 / SEC#: 801-20406
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 1
Date: 12/10/1977
Registered Representative ExaminationCurrent Firm
CETERA INVESTMENT ADVISERS LLC
CRD#: 105644 / SEC#: 801-20406
Contact information
SEC notice filing (53 States and Territories)
Regulatory assets under management
| Total Number of Accounts | 584,487 |
| AUM (Assets Under Management) | $ 163,792,814,520 |
Accountant surprise examination report
| Filing Date | Form ADV-E Cover | Form ADV-E Report |
|---|---|---|
| 10/27/2025 | ||
| 12/13/2024 | ||
| 09/26/2023 | ||
| 11/18/2022 |
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.
