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Carin Harris Constant

CRD# 1295468·Registered 1984 - 2016
Previously Registered: Being a previously registered professional could mean that Carin 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.

Professional Summary

Carin Harris Constant, who also goes by Karin Harris Constant, Karin Harris Constantinedes, was a registered financial advisor. Carin was a previously registered financial professional and started their career in finance 1984 - 2016. Carin had worked at 8 firms and has passed the Series 65, Series 63, SIE and Series 7 exams.

At a Glance

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Fiduciary Standard

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Fee Structure

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Account Minimum

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Active Clients

Fiduciary Standard

Fee Structure

Account Minimum

Active Clients

Other Aliases

Karin Harris Constant, Karin Harris Constantinedes

Blog Corner

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Videos & Posts

This advisor has not added any videos or posts yet.

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Contact Information

No current employment

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Disclosures are events reported to regulators, such as customer disputes, regulatory actions, employment separations, or financial events. Some are resolved, denied, or contested — a disclosure is not a verdict. We recommend asking an advisor directly about any disclosure on their record.

Disclosures on record.

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.

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Years of Experience

42 years in the financial services industry

Current & Past Employments

IFS SECURITIES·CRD# 40375
BD
Atlanta, GA
October 27, 2014 - September 8, 2016
WESTMINSTER FINANCIAL ADVISORY CORP·CRD# 110283
RIA
Beavercreek, OH
March 30, 2010 - November 24, 2014
WESTMINSTER FINANCIAL SECURITIES, INC.·CRD# 20677
BD
Beavercreek, OH
March 29, 2010 - November 24, 2014
GUNNALLEN FINANCIAL, INC·CRD# 17609
RIA
East Hampton, NY
October 5, 2006 - March 29, 2010
GUNNALLEN FINANCIAL, INC·CRD# 17609
BD
East Hampton, NY
January 31, 2005 - March 29, 2010
AEGIS CAPITAL CORP.·CRD# 15007
BD
New York, NY
May 6, 2002 - February 8, 2005
PRUDENTIAL EQUITY GROUP, LLC·CRD# 7471
BD
New York, NY
May 8, 1997 - May 24, 2002
UBS FINANCIAL SERVICES INC.·CRD# 8174
BD
Weehawken, NJ
March 7, 1986 - May 6, 1997
MORGAN STANLEY & CO. LLC·CRD# 8209
BD
August 21, 1984 - February 24, 1986

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Current Firm

IS
IFS SECURITIES

ALZAID FINANCIAL SERVICES, INC. | INTERNATIONAL FINANCIAL SOLUTIONS, INC. | IFS SECURITIES, INC | IFS SECURITIES | IFS EQUITY | IFS CAPITAL MARKETS | IFS ADVISORY, LLC

CRD#: 40375 / SEC#: 8-49020
BD
Terminated by SEC on 02/28/2020

Contact Information

Established

Pennsylvania since 09/21/1993

Firm Type

Corporation

Fiscal Year End

March

Documents

Direct owners and executive officers

NamePositionCRD#
IFS GROUP, INC.FOREIGN ENTITY/DIRECT OWNER—
MCKENZIE, ALEXYS ULANDOCEO/OWNER2642827
SADLER, JOQUINN THOMASCHIEF COMPLIANCE OFFICER / CHIEF OPERATIONS OFFICER2817763

Disclosures

Regulatory Event

3

Arbitration

1

Financial

1

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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.

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State Registrations and Notice Filings

Listed states reflect where the advisor is authorized to serve clients under state regulations.
This advisor is not registered in any state.

Exams

Financial professionals may take different exams throughout their careers based on the types of services they provide and roles they perform.

Series 65 — Uniform Investment Adviser Law Examination

Passed Dec 1999About the Series 65 exam

Series 63 — Uniform Securities Agent State Law Examination

Passed Mar 1986About the Series 63 exam

SIE — Securities Industry Essentials Examination

Passed Sep 2016About the SIE exam

Series 7 — General Securities Representative Examination

Passed Aug 1984About the Series 7 exam

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CRS (Client Relationship Summary)

The CRS(Customer Relationship Summary) document is not provided.

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