Elisabeth Smith Email & Phone Number
Senior Vice President, Head of Field Supervision @ Hilltop Securities Inc.
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Elisabeth Smith Location
- Saint Paul, MN, US
Elisabeth Smith Work
- 2021 -now Senior Vice President, Head of Field Supervision @
- 2019 -2021 First Vice President, Senior Complex Risk Officer @
- 2014 -2018 Principal, Director of Supervision @ Piper Jaffray Investment Management, LLC
- 2013 -2013 Principal, Chief Compliance Officer @ Piper Jaffray Investment Management, LLC
- 2011 -2013 Principal, Head of Investor Relations @ Piper Jaffray Investment Management, LLC
- 2008 -2011 Principal, Administrative Manager - Fixed Income Services @
- 2006 -2008 Vice President, Administrative Manager - High Yield Structured Products @
- 2006 -2006 Director, Control Officer @
- 2004 -2006 Vice President, Senior Registered Options Principal @
Elisabeth Smith Education
- Augsburg College
- University of Minnesota
Elisabeth Smith Skills
- Options
- Alternative Investments
- FINRA
- Equities
- Investments
- Compliance
- Mutual Funds
- Portfolio Management
- Supervisory Experience
- Series 7
- Series 63
- Series 24
- Series 9/10
- Securities Regulation
- Uniform Combined State Law
- Risk Management
- Capital Markets
- Trading
- Bloomberg
- Bonds
- Financial Services
- Wealth Management
- Asset Allocation
- Asset Management
- Fixed Income
- Series 4
- Series 53
- Series 55
Elisabeth Smith Summary
- Elisabeth Smith, based in Saint Paul, MN, US, is currently a Senior Vice President, Head of Field Supervision at Hilltop Securities Inc.. Elisabeth Smith brings experience from previous roles at Morgan Stanley, Piper Jaffray Investment Management, LLC and Piper Jaffray Investment Management, LLC . Elisabeth Smith holds a Augsburg College. With a robust skill set that includes Options, Alternative Investments, FINRA, Equities, Investments and more. Elisabeth Smith has 1 emails and 1 mobile phone numbers on RocketReach.
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