Carol S. Biegel
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 S Biegel, who also goes by Carol Sue Biegel, was a registered financial professional .
Carol is a previously registered financial professional and started their career in finance in 1984. Carol had worked at 6 firms and has passed the Series 65, Series 63, 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
February 28, 2018 - August 4, 2022
RESOLUTE INVESTMENT DISTRIBUTORS, INC.
November 30, 2010 - August 4, 2022
AMERICAN BEACON ADVISORS, INC.
February 5, 2010 - February 28, 2018
FORESIDE FUND SERVICES, LLC
April 23, 2004 - February 11, 2009
VAN KAMPEN ADVISORS INC
April 23, 1985 - February 11, 2009
INVESCO CAPITAL MARKETS, INC.
May 21, 1984 - May 17, 1985
MERRILL LYNCH, PIERCE, FENNER & SMITH 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
RESOLUTE INVESTMENT DISTRIBUTORS, INC.
CRD#: 287788 / SEC#: , 8-69912
Contact information
FINRA licenses (53 States and Territories)
Documents
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.
