Elizabeth Stockwell is a registered investment advisor, based in South Portland, ME, with 9 years of industry experience.
Location
25 Long Creek Dr., Ste E, South Portland, ME, 04106
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Regulatory History (4)
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Regulatory
February 2021Final
Regulatory
October 2020Final
Regulatory
August 2019Final
Employment Separation After Allegations
March 2019Other Business Activities
Elizabeth owns ES Financial as a DBA since 2015 and spends nearly full-time trading. She is also the Treasurer for Keoka Lake Association, dedicating minimal time, and an advisory rep of a RIA, CIRA, spending nearly full-time trading.
Employment History
Current Registrations
Cambridge Investment Research, INC.Broker
December 2022 - Present · 3 yrs 5 mos
Cambridge Investment Research Advisors, INC.
December 2022 - Present · 3 yrs 5 mos
Previous Registrations
Cantella & CO., INC.
October 2020 - June 2023 · 2 yrs 8 mos
Cantella & CO., INC.Broker
August 2020 - December 2022 · 2 yrs 4 mos
Independent Financial Group, LLCBroker
June 2019 - August 2019 · 2 mos
LPL Financial LLC
February 2016 - April 2019 · 3 yrs 2 mos
LPL Financial LLCBroker
April 2015 - April 2019 · 4 yrs
State Registrations17 states
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AdvisorBrokerBoth
You can work with an advisor not registered in your state. Most advisors can legally serve a small number of clients across state lines without registering.
Exams
No exam information available for this advisor.