Carol A. Rhoads
Professional summary
Carol Ann Rhoads was barred by the FINRA from acting as a broker or investment advisor or otherwise associating with a broker-dealer firm.
Carol is a previously registered financial professional and started their career in finance in 1984. Prior to being barred, Carol had worked at 12 firms, which includes R.M. DUNCAN SECURITIES INC., MASTERS FINANCIAL GROUP INC., FIRST AFFILIATED SECURITIES, RHOADS FINANCIAL GROUP INC., VANGUARD CAPITAL, LUMIERE SECURITIES INC., THE TRADING DESK INC., T. J. RANEY & SONS INC., ANGLO-AMERICAN INVESTOR SERVICES CORP., BOWMAN & COMPANY INCORPORATED, FIRST INVESTMENT SECURITIES INC., DELTA FINANCIAL INVESTMENT CORPORATION.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
September 27, 1999 - September 30, 2004
R.M. DUNCAN SECURITIES, INC.
September 4, 1996 - April 10, 1998
MASTERS FINANCIAL GROUP, INC.
October 23, 1992 - June 20, 1994
FIRST AFFILIATED SECURITIES
June 24, 1992 - October 20, 1992
RHOADS FINANCIAL GROUP, INC.
October 21, 1991 - May 28, 1992
VANGUARD CAPITAL
May 23, 1991 - October 3, 1991
LUMIERE SECURITIES, INC.
April 18, 1989 - May 7, 1991
THE TRADING DESK, INC.
September 15, 1987 - April 19, 1989
T. J. RANEY & SONS, INC.
May 20, 1987 - September 18, 1987
ANGLO-AMERICAN INVESTOR SERVICES CORP.
March 24, 1986 - April 8, 1986
BOWMAN & COMPANY INCORPORATED
April 1, 1985 - May 20, 1987
FIRST INVESTMENT SECURITIES, INC.
August 20, 1984 - April 1, 1985
DELTA FINANCIAL INVESTMENT CORPORATION
State Registrations and Notice Filings
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Visual representation of state registrations
Exams
Current Firm
R.M. DUNCAN SECURITIES, INC.
CRD#: 14344 / SEC#: , 8-30534
Contact information
FINRA licenses (19 States and Territories)
Disclosures
| Regulatory Event | 4 |
Red Flags
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