Elizabeth O. Simone
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 Ortiz Simone, who also goes by Elizabeth Ortiz, Ellie Simone, was a registered financial professional .
Elizabeth is a previously registered financial professional and started their career in finance in 1978. Elizabeth had worked at 10 firms and has passed the Series 63, Series 7, Series 27, Series 4 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
September 17, 2003 - December 16, 2003
MULTITRADE SECURITIES LLC
November 1, 2000 - October 1, 2001
LIBERTY DISCOUNT BROKER, INC.
January 20, 1998 - November 13, 1998
FINANTIA USA INC.
July 8, 1997 - October 31, 1997
FIRST MONTAUK SECURITIES CORP.
December 10, 1987 - June 30, 1997
MARSH, BLOCK & CO. INC.
April 28, 1986 - December 3, 1987
TD AMERITRADE, INC.
June 13, 1985 - November 9, 1988
TOWER SQUARE SECURITIES, INC.
June 24, 1982 - May 21, 1985
DOLAN & PITCHER, INC.
May 18, 1979 - June 3, 1982
EMPIRE NATIONAL SECURITIES, INCORPORATED
November 1, 1978 - January 18, 1980
KINGSLEY, BOYE & SOUTHWOOD, 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
Current Firm
MULTITRADE SECURITIES LLC
CRD#: 47485 / SEC#: , 8-51825
Contact information
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| CMA, INC | INSTITUTIONAL OWNER | |
| LIGHTHOUSE FINANCIAL GROUP, LLC | INSTITUTIONAL OWNER | 103734 |
| MORFIT, MICHAEL CLARENCE OLIVER MR | PRESIDENT, SENIOR MANAGING DIRECTOR, CHIEF OPERATING OFFICER, MANAGING MEMBER, AND CCO | 1614404 |
| PRIVATE ASSET INVESTORS | OWNER | |
| HOWIE, STEVEN GIRARD | MUNICIPAL SECURITIES PRINCIPAL, TRADER | 1250905 |
| KRILL, RICHARD EDWARD | CFO, FINANCE AND OPERATIONS PRINCIPAL | 3190120 |
Disclosures
| Regulatory Event | 1 |
Red Flags
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