Carol A. Mccollister
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.
Carol Ann Mccollister, who also goes by Carol Ann Weiner, was a registered financial professional .
Carol is a previously registered financial professional and started their career in finance in 1983. Carol had worked at 3 firms and has passed the Series 65, Series 22 and Series 39 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
February 23, 2022 - November 24, 2025
MARIN WEALTH ADVISORS LLC
February 1, 2017 - December 31, 2021
MARIN WEALTH ADVISORS LLC
February 22, 2005 - February 21, 2017
EXECUTIVE INVESTMENT ADVISORS, LLC
April 26, 1983 - January 24, 1990
IMF SECURITIES CORPORATION
Primary Firm SEC Registration
MARIN WEALTH ADVISORS LLC
CRD#: 123237 / SEC#: 801-113162
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
MARIN WEALTH ADVISORS LLC
CRD#: 123237 / SEC#: 801-113162
Contact information
SEC notice filing (8 States and Territories)
Documents
Regulatory assets under management
| Total Number of Accounts | 938 |
| AUM (Assets Under Management) | $ 356,959,178 |
Red Flags
Disclosures can be potential red flags, including customer disputes, regulatory fines, employer terminations, bankruptcies, judgments, liens, or certain criminal activities.
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