Carin H. Constant
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.
Carin Harris Constant, who also goes by Karin Harris Constant, Karin Harris Constantinedes, was a registered financial professional .
Carin is a previously registered financial professional and started their career in finance in 1984. Carin had worked at 8 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
October 27, 2014 - September 8, 2016
IFS SECURITIES
March 30, 2010 - November 24, 2014
WESTMINSTER FINANCIAL ADVISORY CORP
March 29, 2010 - November 24, 2014
WESTMINSTER FINANCIAL SECURITIES, INC.
October 5, 2006 - March 29, 2010
GUNNALLEN FINANCIAL, INC
January 31, 2005 - March 29, 2010
GUNNALLEN FINANCIAL, INC
May 6, 2002 - February 8, 2005
AEGIS CAPITAL CORP.
May 8, 1997 - May 24, 2002
PRUDENTIAL EQUITY GROUP, LLC
March 7, 1986 - May 6, 1997
UBS FINANCIAL SERVICES INC.
August 21, 1984 - February 24, 1986
MORGAN STANLEY & CO. LLC
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
IFS SECURITIES
CRD#: 40375 / SEC#: , 8-49020
Contact information
Documents
Disclosures
| Regulatory Event | 3 |
| Arbitration | 1 |
| Financial | 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.
