Carrie L. Raney
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.
Carrie Lynn Raney, who also goes by Carrie Lynn Buccellato, Carrie Buccellato, Carrie Lynn Holzwart, Carrie Lynn Pond, was a registered financial advisor .
Carrie is a previously registered financial advisor and started their career in finance in 1985. Carrie had worked at 8 firms and has passed the Series 63, Series 7, Series 53, Series 27 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
February 4, 2013 - February 7, 2013
CAPSTONE INVESTMENTS
February 4, 2013 - February 7, 2013
CAPSTONE INVESTMENTS
July 9, 2012 - February 6, 2013
WESTERN INTERNATIONAL SECURITIES, INC.
January 3, 1995 - July 20, 2012
SAMUELS CHASE & CO., INC.
April 28, 1994 - August 18, 1994
SPELMAN & CO., INC.
February 28, 1989 - February 23, 1994
VANGUARD CAPITAL
January 29, 1988 - December 13, 1988
INDEPENDENT INVESTMENT BROKERS OF AMERICA
February 27, 1987 - January 30, 1988
FORESTERS FINANCIAL SERVICES, INC.
July 23, 1985 - February 26, 1987
FIRST AFFILIATED SECURITIES, 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
CAPSTONE INVESTMENTS
CRD#: 41400 / SEC#: , 8-49400
Contact information
Disclosures
| Regulatory Event | 4 |
| Arbitration | 1 |
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.
