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Carole L. Pickens

SIEBERT WILLIAMS SHANK & CO.
Las Vegas, NV
Some features on this profile are disabled
CRD#: 1212782
CP

Professional summary

Carole Lynnae Pickens, who also goes by Lynnae Burton, C Lynnae Pickens, Carole Lynnae Burton Pickens, Lynnae Pickens, is a registered financial professional currently at SIEBERT WILLIAMS SHANK & CO., LLC located in Las Vegas, Nevada.

Carole is registered as a RR (Registered Representative) and started their career in finance in 1984. Carole has worked at 4 firms and has passed the Series 63, Series 72, SIE, Series 50, Series 3, Series 7, Series 52 and Series 24 exams.

top-8-questions

Question & Answer

Are you a "fiduciary"?
No

Aliases

Lynnae Burton | C Lynnae Pickens | Carole Lynnae Burton Pickens | Lynnae Pickens

Other business activities

Outside business activity is any business or activity undertaken by an advisor that is outside the scope of their relationship with their firm (e.g., consulting services, real estate, freelance work, teaching, etc.). Investors should stay informed about these activities to ensure no conflicts of interest.
The advisor shows no other business activity.

Blog Corner

CRS (Client Relationship Summary) - BD

Click below to view Carole Lynnae Pickens's CRS (Customer Relationship Summary).
CRS (Customer Relationship Summary)

Certified licenses

Advisors may have various certifications and credentials from different organizations. AdvisorCheck highlights these seven certifications - AIF®, CFP®, ChFC®, CFA, CLU®, CIMA®, CPWA®
None

Experience

Current

November 5, 2019 - Present

SIEBERT WILLIAMS SHANK & CO., LLC

BD
CRD#: 42568
Las Vegas, NV
Past

February 15, 1999 - November 5, 2019

THE WILLIAMS CAPITAL GROUP, L.P.

BD
CRD#: 35149
NEW YORK, NY
Past

July 7, 1987 - September 25, 1998

NIKKO ALTERNATIVE ASSET MANAGEMENT, INC.

BD
CRD#: 824
NEW YORK, NY
Past

May 15, 1984 - March 10, 1986

CITICORP SECURITIES, INC.

BD
CRD#: 7474

State Registrations and Notice Filings

Listed states reflect where the advisor is authorized to serve clients under state regulations.

RR
indicates the advisor is registered as a Registered Representative in this state, allowing them to offer securities such as stocks, bonds, and mutual funds through a broker-dealer.

Visual representation of state registrations

RR
California
(11/5/2019)
RR
Florida
(11/5/2019)
RR
Georgia
(11/5/2019)
RR
Illinois
(11/5/2019)
RR
Louisiana
(11/5/2019)
RR
Massachusetts
(11/5/2019)
RR
Nevada
(6/17/2024)
RR
New Jersey
(6/30/2023)
RR
New York
(11/5/2019)
RR
Ohio
(11/5/2019)
RR
Oklahoma
(11/5/2019)
RR
Texas
(11/5/2019)

Exams

State Security Law Exam
RR
Series 63
Date: 11/3/1989
Uniform Securities Agent State Law Examination
General Industry/Product Exam
RR
Series 72
Date: 1/2/2023
Government Securities Representative Examination
General Industry/Product Exam
RR
SIE
Date: 10/1/2018
Securities Industry Essentials Examination
General Industry/Product Exam
RR
Series 50
Date: 9/6/2017
Municipal Advisor Representative Qualification Exam
General Industry/Product Exam
RR
Series 3
Date: 7/29/1987
National Commodity Futures Examination
General Industry/Product Exam
RR
Series 7
Date: 3/16/1985
General Securities Representative Examination
General Industry/Product Exam
RR
Series 52
Date: 1/25/1984
Municipal Securities Representative Examination
Principal/Supervisory Exam
RR
Series 24
Date: 8/28/2024
General Securities Principal Examination
SRO Registrations
RR
FINRA

Current Firm

SW
SIEBERT WILLIAMS SHANK & CO., LLC
SIEBERT CISNEROS SHANK & CO., L.L.C. | SIEBERT, BRANDFORD, SHANK & CO., L.L.C. | SIEBERT WILLLIAMS SHANK | SIEBERT WILLIAMS SHANK & CO., LLC

CRD#: 42568 / SEC#: , 8-49877

BD
Broker-Dealer Firm Regulated by FINRA (New York district office)
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Contact information

Main Address
100 Wall Street 18th Floor, New York, NY 10005
Mailing Address
100 Wall Street 18th Floor, New York, NY 10005
Phone number
(646) 775-4850
Established
Delaware since 03/10/1997
Firm type
Limited Liability Company
Fiscal year end
December
Firm Size
Small
# of Employees

FINRA licenses (50 States and Territories)

Blank US states mapAlaskaHawaiiAlabamaArkansasArizonaCaliforniaColoradoConnecticutDelawareFloridaGeorgiaIowaIdahoIllinoisIndianaKansasKentuckyLouisianaMassachusettsMarylandMaineMichiganMinnesotaMissouriMississippiMontanaNorth CarolinaNorth DakotaNebraskaNew HampshireNew JerseyNew MexicoNevadaNew YorkOhioOklahomaOregonPennsylvaniaRhode IslandSouth CarolinaSouth DakotaTennesseeTexasUtahVirginiaVermontWisconsinWest VirginiaWyoming

Documents

Customer Relationship Summary (CRS / FINRA)

Direct owners and executive officers

NamePositionCRD#
SHANK WILLIAMS CISNEROS, LLCOWNER
CALABRISOTTO, DIANNE NMNAML OFFICER1273900
CALABRISOTTO, DIANNE NMNCHIEF COMPLIANCE OFFICER & COO1273900
CHANDA, ATEESH SINGHCHIEF LEGAL OFFICER6973151
DIAZ, DANIELFINANCIAL PRINCIPAL2214417
HALL, GARYCO-PRESIDENT4393662
SHANK-WERDLOW, SUZANNE FRANCESCEO, DIRECTOR OF PARENT1860931
THOMPSON, WILLIAM COLRIDGE JRCHIEF ADMINISTRATIVE OFFICER2316101
WARNER, SOBANI MULENGACO-PRESIDENT1732009

Disclosures

Regulatory Event4

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.

Company Information

SIEBERT WILLIAMS SHANK & CO., LLC

CRD#: 42568Las Vegas, NV

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