Caroline R. Council
Professional summary
Being a previously registered professional could mean that this person is no longer operating under the supervision of the SEC or FINRA.
That means that the Securities and Exchange Commission may not be able to oversee the services that this specific professional is providing.
Caroline Ransom Council, who also goes by Babs Council, was a registered financial professional .
Caroline is a previously registered financial professional and started their career in finance in 1982. Caroline had worked at 6 firms and has passed the Series 65, Series 63, Series 3, Series 7 and Series 24 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
January 3, 2006 - December 31, 2012
WORLD CAPITAL BROKERAGE, INC.
August 1, 2003 - December 31, 2005
QUEST CAPITAL STRATEGIES, INC.
January 22, 2003 - April 15, 2003
WORLD CAPITAL BROKERAGE, INC.
January 4, 2000 - December 31, 2002
WORLD CAPITAL BROKERAGE, INC.
October 8, 1992 - December 31, 1999
THE INVESTMENT CENTER, INC.
August 7, 1989 - November 7, 1990
FIRST UNION CAPITAL MARKETS CORP.
February 28, 1985 - August 16, 1989
THOMSON MCKINNON SECURITIES INC.
April 29, 1982 - February 27, 1985
UBS FINANCIAL SERVICES INC.
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
Visual representation of state registrations
Exams
Current Firm
WORLD CAPITAL BROKERAGE, INC.
CRD#: 37 / SEC#: , 8-6805
Contact information
FINRA licenses (51 States and Territories)
Direct owners and executive officers
Disclosures
| Regulatory Event | 3 |
Red Flags
Disclosures can be potential red flags, including customer disputes, regulatory fines, employer terminations, bankruptcies, judgments, liens, or certain criminal activities.
Check for any disclosures as part of your thorough research when choosing an advisor.
