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Elizabeth Hathaway

Merrill Lynch, Pierce, Fenner & Smith Incorporated

Little Rock, AR

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Current Employers
Merrill Lynch, Pierce, Fenner & Smith Incorporated

One Bryant Park, New York, NY 10036 • United States

Current Registrations

AuthorityCategoryStatusDate
TX RA APPROVED_RES 2012-06-05
AR RA APPROVED 2009-10-23
  • TX RA
    APPROVED_RES
    Since 2012-06-05
  • AR RA
    APPROVED
    Since 2009-10-23

Branch Locations

2200 N Rodney Parham Rd, Little Rock, AR 72212 • United States

Disclosures

1 disclosure category reported Yes on this SEC record. Read each Yes below, then review the firm’s Form ADV Item 11 guide for how disclosure questions work.

  • Regulatory action No
  • Criminal No
  • Bankruptcy No
  • Civil judicial No
  • Bond No
  • Judgment / lien No
  • Investigation No
  • Customer complaint Yes
  • Termination No
Employment History
OrganizationCityStateFromTo
Merrill Lynch, Pierce, Fenner & Smith Incorporated Little Rock AR 10/2009 Present
Bank Of America, Na Little Rock AR 11/2009 Present
Previous Registrations
  • 2006-12-15 → 2009-10-23
    Banc Of America Investment Services, Inc.
    Hot Springs Village, AR
    Little Rock, AR
  • 2000-03-23 → 2006-12-19
    Morgan Keegan & Company, Llc
    Little Rock, AR
    Little Rock, AR
Exams
CodeExamDate
S65 Uniform Investment Adviser Law Examination 1999-10-15
S63 Uniform Securities Agent State Law Examination 1993-09-24
  • S65 Uniform Investment Adviser Law Examination
    1999-10-15
  • S63 Uniform Securities Agent State Law Examination
    1993-09-24
Other Names
  • Elizabeth Wald Okeefe
  • Elizabeth Okeefe Hathaway
  • Beth Hathaway

View on SEC IAPD

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Other Offices

EDWARD JONES · LITTLE ROCK, AR
ARVEST WEALTH MANAGEMENT · LITTLE ROCK, AR
STATE FARM INVESTMENT MANAGEMENT CORP. · Little Rock, AR
RAYMOND JAMES FINANCIAL SERVICES ADVISORS, INC · Little Rock, AR
RAYMOND JAMES & ASSOCIATES, INC. · LITTLE ROCK, AR
UNITED CAPITAL FINANCIAL ADVISORS · LITTLE ROCK, AR
RAYMOND JAMES FINANCIAL SERVICES ADVISORS, INC · LITTLE ROCK, AR
NFSG CORPORATION · LITTLE ROCK, AR

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