Elizabeth S. Carter
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 Sawyer Carter, who also goes by Elizabeth Sawyer Brasfield, Elizabeth Sawyer Chuldenko, Elizabeth Ann Sawyer, was a registered financial professional .
Elizabeth is a previously registered financial professional and started their career in finance in 1992. Elizabeth had worked at 10 firms and has passed the Series 63, Series 65, SIE, Series 79 and Series 7 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
September 9, 2013 - November 30, 2022
BROWN, GIBBONS, LANG & COMPANY SECURITIES, LLC
February 21, 2006 - July 15, 2011
CARTER GLOBAL, LLC
January 23, 2004 - November 1, 2005
WFG ADVISORS, LP
November 18, 2003 - October 31, 2005
WFG INVESTMENTS, INC.
December 6, 2002 - November 26, 2003
BANC OF AMERICA INVESTMENT SERVICES, INC.
December 4, 2002 - November 26, 2003
BANC OF AMERICA INVESTMENT SERVICES, INC.
July 23, 1999 - October 25, 2002
PRIM SECURITIES, INCORPORATED
February 6, 1998 - June 23, 1998
INVESCO DISTRIBUTORS, INC.
March 19, 1996 - June 3, 1997
GPC SECURITIES, INC.
June 7, 1995 - September 11, 1995
BANK SOUTH INVESTMENT SERVICES, INC.
April 7, 1992 - January 10, 1995
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
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
BROWN, GIBBONS, LANG & COMPANY SECURITIES, LLC
CRD#: 29540 / SEC#: , 8-44816
Contact information
FINRA licenses (14 States and Territories)
Disclosures
| Regulatory Event | 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.
