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Detailed Report
ELIZABETH C. JOHNSON
BETSY CURRIE, ELIZABETH L CURRIE, ELIZABETH L. CURRIE, LIZ CURRIE, ELIZABETH L. JOHNSON
CRD#: 5502807
IA
Investment Adviser
B
Broker
UBS FINANCIAL SERVICES INC.CRD#: 8174 3560 Lenox Road NE
28th floor
ATLANTA, GA 30326
Registration History
2008201020122014201620182020202220242026IAUBS FINANCIAL SERVICES INC. (CRD# 8174)2011 - Present (13 years)BUBS FINANCIAL SERVICES INC. (CRD# 8174)2010 - Present (14 years)BJOHN HANCOCK DISTRIBUTORS LLC (CRD# 5249)2008 - 2010 (1 year)BH.D. VEST INVESTMENT SERVICES (CRD# 13686)2008 - 2008 (<1 year)
License(s)

State Registrations

B
Alabama 9/6/2013
B
Kentucky 6/20/2024
B
Florida 9/6/2013
B
Missouri 3/13/2023
B
Georgia 12/8/2010
B
North Carolina 7/13/2018
IA
Georgia 5/3/2011
B
Oklahoma 5/27/2015
B
Indiana 6/20/2024
B
South Carolina 9/6/2013
B
Iowa 4/24/2018

SRO Registrations

B
 BOX Exchange LLC
B
 Cboe Exchange, Inc.
B
 FINRA
B
 NYSE American LLC
B
 NYSE Arca, Inc.
B
 NYSE Chicago, Inc.
B
 Nasdaq ISE, LLC
B
 Nasdaq PHLX LLC
B
 Nasdaq Stock Market
B
 New York Stock Exchange

View Exams Passed by the individual in the detailed report

Learn about permitted activities of registered representatives

Learn about permitted activities of registered principals

Not all jurisdictions require IAR registration or may have an exemption from registration.
Current Registration(s)
IA
UBS FINANCIAL SERVICES INC. (CRD#:8174)
3560 Lenox Road NE 28th floor, ATLANTA, GA 30326
DEERFIELD COMMONS 12600 DEERFIELD PARKWAY, ALPHARETTA, GA 30004
Registered with this firm since 5/3/2011
B
UBS FINANCIAL SERVICES INC. (CRD#:8174)
3560 Lenox Road NE 28th floor, ATLANTA, GA 30326
DEERFIELD COMMONS 12600 DEERFIELD PARKWAY, ALPHARETTA, GA 30004
Registered with this firm since 12/8/2010
Previous Registration(s)
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B
 11/28/2008 - 06/23/2010 JOHN HANCOCK DISTRIBUTORS LLC (CRD#:5249) ATLANTA, GA
B
 05/06/2008 - 12/09/2008 H.D. VEST INVESTMENT SERVICES (CRD#:13686) WOODSTOCK, GA
For additional information about investment advisers or broker-dealers, please visit
www.investor.gov
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
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.