Carolyn E. Kling
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.
Carolyn Esther Kling, who also goes by Carolyn Lujan, Carol Esther Simons, Carolyn Esther Simons, Carolyn Lujan Simons, was a registered financial professional .
Carolyn is a previously registered financial professional and started their career in finance in 1982. Carolyn had worked at 14 firms and has passed the Series 65, Series 63, Series 22, Series 6 and Series 26 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
January 19, 2016 - December 13, 2016
ADVANCED PRACTICE ADVISORS, LLC
July 10, 2013 - January 26, 2016
JFG FAMILY OFFICE
August 17, 2010 - July 2, 2013
KLING PARTNERS, LLC
November 8, 2006 - April 16, 2008
WEALTH STRATEGIES ALLIANCE, INC.
May 4, 2005 - July 17, 2006
ALLIED CONSULTING GROUP
March 17, 1999 - April 16, 2001
FISERV CORRESPONDENT SERVICES, INC.
January 1, 1999 - October 27, 2003
INVESTMENT CONSULTING GROUP LLC
August 2, 1995 - January 1, 1998
PORTFOLIO BROKERAGE SERVICES, INC.
January 31, 1995 - February 24, 1995
JOHN HANCOCK INVESTMENT MANAGEMENT DISTRIBUTORS LLC
April 25, 1991 - January 31, 1995
TRANSAMERICA FUND DISTRIBUTORS, INC.
October 2, 1989 - January 14, 1991
PUTNAM RETAIL MANAGEMENT LIMITED PARTNERSHIP
August 27, 1986 - February 3, 1989
CONTINENTAL EQUITIES CORPORATION OF AMERICA
November 25, 1985 - June 3, 1986
FIRST CAPITAL INVESTMENT CORPORATION
July 12, 1982 - August 21, 1985
G. R. PHELPS & CO., INC.
State Registrations and Notice Filings
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Visual representation of state registrations
Exams
Current Firm
ADVANCED PRACTICE ADVISORS, LLC
CRD#: 154084 / SEC#: 801-71514
Contact information
Red Flags
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