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
- Senior Vice President, Head of Field Supervision @ (June 2021 - Present)
- First Vice President, Senior Complex Risk Officer @ (January 2019 - May 2021)
- Principal, Director of Supervision @ Piper Jaffray Investment Management, LLC (January 2014 - August 2018)
- Principal, Chief Compliance Officer @ Piper Jaffray Investment Management, LLC (April 2013 - December 2013)
- Principal, Head of Investor Relations @ Piper Jaffray Investment Management, LLC (January 2011 - January 2013)
- Principal, Administrative Manager - Fixed Income Services @ (January 2008 - January 2011)
- Vice President, Administrative Manager - High Yield Structured Products @ (January 2006 - January 2008)
- Director, Control Officer @ (April 2006 - November 2006)
- Vice President, Senior Registered Options Principal @ (January 2004 - January 2006)
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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