CAROL A. ARAGON
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 A ARAGON, who also goes by Carol Ann Aragon, Carol Ann Johnson, Carol Johnson, Carol Ann Lampe, was a registered financial professional .
CAROL is a previously registered financial professional and started their career in finance in 1983. CAROL had worked at 4 firms and has passed the Series 63, SIE and Series 7 exams.
Biography
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
November 18, 2013 - June 5, 2024
HIGHTOWER SECURITIES, LLC
June 11, 2009 - November 19, 2013
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
November 21, 2007 - November 19, 2013
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
May 22, 1989 - November 19, 2007
CITIGROUP GLOBAL MARKETS INC.
December 17, 1983 - May 22, 1989
DREXEL BURNHAM LAMBERT INCORPORATED
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
HIGHTOWER SECURITIES, LLC
CRD#: 116681 / SEC#: , 8-53560
Contact information
FINRA licenses (53 States and Territories)
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| HIGHTOWER HOLDING, LLC | PARENT COMPANY | |
| BESSO, DOUGLAS JOSEPH | CTO | 1530829 |
| COVIELLO, BARRY ANTHONY | EXECUTIVE DIRECTOR, NATIONAL FIELD SUPERVISION | 1813688 |
| GRAY, KENDRA | MUNICIPAL PRINCIPAL | 4388082 |
| GRAY, KENDRA | CHIEF COMPLIANCE OFFICER | 4388082 |
| KARL, MATTHEW JAMES | PRINCIPAL FINANCIAL OFFICER (PFO) & FINOP | 5361093 |
| SMITH, SCOTT DAVID | CHIEF EXECUTIVE OFFICER | 2523535 |
Disclosures
| Regulatory Event | 5 |
| 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.
Company Information
HIGHTOWER SECURITIES, LLC
Senior Client Service AssociateCRD#: 116681TRUST BUT VERIFY
Monitor CAROL ARAGON
Get automatic monthly alerts on:
