Carol S. Greenwald
Professional summary
Carol Schwartz Greenwald is a registered financial advisor currently at POTOMAC INVESTMENT COMPANY located in Chevy Chase, Maryland.
Carol is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1983. Carol has worked at 2 firms and has passed the Series 65, Series 63, Series 52TO, Series 99TO, SIE, Series 7, Series 22, Series 14, Series 53, Series 24 and Series 39 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary) - RIA
Click below to view Carol Schwartz Greenwald's CRS (Customer Relationship Summary).
CRS (Client Relationship Summary) - BD
Click below to view Carol Schwartz Greenwald's CRS (Customer Relationship Summary).
Certified licenses
Experience
January 6, 2002 - Present
POTOMAC INVESTMENT COMPANY
December 23, 1983 - Present
POTOMAC INVESTMENT COMPANY
Office #1: 1221 Jebber Loop, The Villages, FL 32162November 8, 1983 - March 29, 1984
V.J. SHAH & CO., 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
(1/10/2018)
(3/12/1986)
(11/4/2003)
(10/24/2014)
(3/2/2021)
(9/1/2023)
(2/14/1986)
(2/15/2022)
(5/8/1992)
(1/6/2002)
(3/26/1986)
(3/18/2009)
Exams
Series 52TO
Date: 9/25/2025
Municipal Securities Representative ExaminationSeries 99TO
Date: 1/2/2023
Operations Professional ExaminationFINRA
Current Firm
POTOMAC INVESTMENT COMPANY
CRD#: 14553 / SEC#: , 8-30830
Contact information
FINRA licenses (8 States and Territories)
Regulatory assets under management
| Total Number of Accounts | 41 |
| AUM (Assets Under Management) | $ 83,176,000 |
Disclosures
| Regulatory Event | 2 |
Red Flags
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