Carolyn A. Laymon
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 Anne Laymon, who also goes by Carolyn A May, Carolyn Ann May Rowland, Carolyn Anne Rowland, Carolyn May Rowland, was a registered financial professional .
Carolyn is a previously registered financial professional and started their career in finance in 1982. Carolyn had worked at 10 firms and has passed the Series 63, Series 3 and Series 7 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
December 10, 2010 - March 10, 2014
SUMMIT BROKERAGE SERVICES, INC.
November 20, 2002 - April 1, 2009
LADENBURG THALMANN & CO. INC.
January 2, 2002 - November 20, 2002
LADENBURG CAPITAL MANAGEMENT INC.
April 24, 2000 - January 2, 2002
LADENBURG THALMANN & CO. INC.
February 4, 2000 - March 31, 2000
CITIGROUP GLOBAL MARKETS INC.
April 6, 1999 - May 19, 1999
ROBERT W. BAIRD & CO. INCORPORATED
August 16, 1988 - March 24, 1999
PRUDENTIAL EQUITY GROUP, LLC
May 12, 1987 - June 28, 1988
JW GENESIS CLEARING CORP.
December 12, 1983 - May 15, 1987
MORGAN STANLEY DW INC.
September 26, 1983 - December 12, 1983
MORGAN KEEGAN & COMPANY, LLC
October 20, 1982 - September 15, 1983
CIBC WORLD MARKETS CORP.
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
SUMMIT BROKERAGE SERVICES, INC.
CRD#: 34643 / SEC#: , 8-46310
Contact information
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| SUMMIT FINANCIAL SERVICES GROUP, INC. | HOLDING COMPANY FOR APPLICANT | |
| BONNEAU, CATHERINE MCCORMACK | CHIEF OPERATING OFFICER | 2899706 |
| FRAM, FREDERICK GORDON | CHIEF COMPLIANCE OFFICER AND SECRETARY | 1701062 |
| HARRISON, BRETT LAMAR | DIRECTOR | 4032238 |
| JACOBS, STEVEN CRAIG | VICE PRESIDENT AND PRINCIPAL FINANCIAL OFFICER | 1676431 |
| KESTERSON, BARBARA JO | PRINCIPAL OPERATIONS OFFICER | 2747533 |
| LEEDS, MARSHALL TODD | DIRECTOR, CHIEF EXECUTIVE OFFICER AND PRESIDENT | 1014569 |
| NEARY, JOSEPH DANIEL | MANAGER | 2993505 |
| OLSON, GREGORY ALAN | ASSISTANT SECRETARY | 2692482 |
| SHELSON, MARK PAUL | TREASURER | 1819252 |
| SMILEY, STANLEY ROBERT | VICE PRESIDENT | 3004604 |
Disclosures
| Regulatory Event | 16 |
| Arbitration | 5 |
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.
