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Detailed Report
ELIZABETH MARIE ENGLE
ELIZABETH MARIE GUINN
CRD#: 6430306
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Investment Adviser
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Previous Broker
FISHER INVESTMENTSCRD#: 107342 CORCORAN, MN
Registration History
2014201520162017201820192020202120222023202420252026IAFISHER INVESTMENTS (CRD# 107342)2018 - Present (6 years)BPURSHE KAPLAN STERLING INVESTMENTS (CRD# 35747)2014 - 2018 (3 years)IAMCADAM LLC (CRD# 170914)2015 - 2018 (3 years)
Disclosure(s)
View By:
11/3/2023
Customer Dispute
Settled
License(s)

State Registrations

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Minnesota 3/26/2019
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Texas 9/15/2023
Current Registration(s)
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FISHER INVESTMENTS (CRD#:107342)
CORCORAN, MN
Registered with this firm since 4/10/2018
Previous Registration(s)
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 01/26/2015 - 03/22/2018 MCADAM LLC (CRD#:170914) CHICAGO, IL
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 12/26/2014 - 03/20/2018 PURSHE KAPLAN STERLING INVESTMENTS (CRD#:35747) Chicago, IL
For additional information about investment advisers or broker-dealers, please visit
www.investor.gov
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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.
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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.