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ELIZABETH CERVANTES
ELIZABETH ROMAN CERVANTES, ELIZABETH ROMAN
CRD#: 5285896
IA
B
MORGAN STANLEYCRD#: 149777 1901 Main Street
Suite 700
Irvine, CA 92614
Suite 700
Irvine, CA 92614
0
Disclosures
17
Years of Experience
View By:
State Registrations
B
Arizona 12/6/2024
B
New Jersey 1/2/2025
B
Arkansas 1/24/2025
B
New Mexico 1/14/2025
B
California 12/6/2024
B
New York 12/6/2024
IA
California 12/9/2024
B
North Carolina 2/10/2025
B
Colorado 12/6/2024
B
North Dakota 1/24/2025
B
Connecticut 12/6/2024
B
Ohio 1/27/2025
B
District of Columbia 12/6/2024
B
Oklahoma 12/6/2024
B
Florida 12/6/2024
B
Oregon 12/6/2024
B
Georgia 1/2/2025
B
Pennsylvania 12/6/2024
B
Hawaii 12/6/2024
B
South Carolina 12/6/2024
B
Idaho 12/6/2024
B
South Dakota 12/6/2024
B
Illinois 12/6/2024
B
Tennessee 12/6/2024
B
Kansas 12/6/2024
B
Texas 12/6/2024
B
Kentucky 1/17/2025
IA
Texas 12/6/2024
B
Michigan 12/6/2024
B
Utah 12/6/2024
B
Minnesota 12/6/2024
B
Virginia 12/6/2024
B
Missouri 1/23/2025
B
Washington 12/6/2024
B
Nevada 12/6/2024
B
Wisconsin 12/6/2024
SRO Registrations
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B
B
B
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IA
Registered with this firm since 12/6/2024
B
Registered with this firm since 12/6/2024
| th hidden text | th hidden text | Name | Location |
|---|---|---|---|
IA | 12/16/2013 - 12/13/2024 | LA MIRADA, CA | |
B | 12/13/2013 - 12/13/2024 | LA MIRADA, CA | |
IA | 01/02/2008 - 12/18/2013 | WHITTIER, CA | |
B | 06/26/2007 - 12/18/2013 | WHITTIER, CA |
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B
Broker A brokerage firm, also called a broker-dealer, is in the business of buying and selling securities – stocks, bonds, mutual funds, and certain other investment products – on behalf of its customer (as broker), for its own bank (dealer), or both. Individuals who work for broker-dealers - the sales personnel are commonly referred to as brokers.
IA
Investment Adviser An investment adviser is paid for providing advice about securities to clients. In addition, some investment advisers manage investment portfolios and offer financial planning services.
Disclosures can be customer complaints or arbitrations, regulatory actions, employment terminations, bankruptcy filings and certain civil or criminal proceedings that they were a part of.