Elisabeth Carroll Probst

Elisabeth Carroll Probst is currently employed as a Broker and/or Investment Adviser at MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED located at 21 HATTON PL, HILTON HEAD ISLAND, SC, 29926.

Elisabeth Carroll Probst has worked at MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED since July 27, 2017

Disclosure History

Elisabeth Carroll Probst has 5 Disclosure Event(s).

Date: May 31, 2012
Category: Financial
Type: Compromise
Disposition: Satisfied/Released

Date: October 30, 2011
Category: Financial
Type: Compromise
Disposition: Satisfied/Released

Date: November 26, 2010
Category: Financial
Type: Compromise
Disposition: Satisfied/Released

Date: February 26, 2010
Category: Financial
Type: Compromise
Disposition: Satisfied/Released

Date: February 26, 2010
Category: Financial
Type: Compromise
Disposition: Satisfied/Released

More Information

All individuals registered to sell securities or provide investment advice are required to disclose customer complaints and arbitrations, regulatory actions, employment terminations, bankruptcy filings and criminal or civil judicial proceedings.

A disclosure includes information about customer disputes, disciplinary events and financial matters on the broker's record as reported by securities regulators, the individual broker, and any involved firms. Some of these items may involve pending actions or allegations that have not been resolved or proven. The presence of a disclosure does not automatically indicate any wrongdoing.

BrokerCheck is the source of the data included in this Report. The data was compiled on June 29, 2018.

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