Carol J. Braziel
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 Jean Braziel, who also goes by Carol Jean Bowe, was a registered financial professional .
Carol is a previously registered financial professional and started their career in finance in 1983. Carol had worked at 7 firms and has passed the SIE 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
March 7, 2019 - March 18, 2022
BRAZIEL & ASSOCIATES, LLC
June 17, 2009 - April 18, 2019
BRAZIEL & ASSOCIATES, LLC
April 24, 2006 - August 9, 2021
NPB FINANCIAL GROUP, LLC
April 24, 2006 - August 9, 2021
NPB FINANCIAL GROUP, LLC
August 13, 1999 - April 24, 2006
NATIONAL PLANNING CORPORATION
November 24, 1998 - August 25, 1999
WS GRIFFITH SECURITIES, INC.
June 14, 1983 - November 20, 1998
ASSOCIATED SECURITIES CORP.
April 21, 1983 - June 21, 1983
LPL FINANCIAL LLC
State Registrations and Notice Filings
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Exams
Current Firm
BRAZIEL & ASSOCIATES, LLC
CRD#: 300233 / SEC#:
Contact information
Red Flags
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