Frances M. Carstensen
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.
Frances Maureen Carstensen, who also goes by Frances Maureen Cowey, Frances Maureen Newark, Frances Maureen Westmoreland, was a registered financial professional .
Frances is a previously registered financial professional and started their career in finance in 1986. Frances had worked at 11 firms and has passed the Series 63, SIE, Series 7 and Series 8 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
January 23, 2012 - October 3, 2014
STRUCTURED ASSET INVESTORS, LLC
January 13, 2012 - October 3, 2014
WELLS FARGO SECURITIES, LLC
January 3, 2011 - January 9, 2012
WELLS FARGO CLEARING SERVICES, LLC
January 3, 2011 - January 9, 2012
WELLS FARGO CLEARING SERVICES, LLC
July 15, 2005 - January 3, 2011
WELLS FARGO INVESTMENTS, LLC
July 15, 2005 - January 3, 2011
WELLS FARGO INVESTMENTS, LLC
August 12, 2003 - January 26, 2004
WELLS FARGO INVESTMENTS, LLC
August 12, 2003 - January 26, 2004
WELLS FARGO INVESTMENTS, LLC
March 17, 2000 - August 19, 2002
ROBERTSON STEPHENS, INC.
January 7, 2000 - August 19, 2002
ROBERTSON STEPHENS, INC.
October 15, 1998 - December 31, 1999
RBC CAPITAL MARKETS, LLC
December 22, 1992 - September 25, 1998
PRUDENTIAL EQUITY GROUP, LLC
January 10, 1992 - September 17, 1992
A. G. EDWARDS & SONS, INC.
October 10, 1989 - January 3, 1992
PRUDENTIAL EQUITY GROUP, LLC
October 15, 1987 - January 3, 1992
PRUDENTIAL EQUITY GROUP, LLC
May 21, 1987 - June 11, 1987
LEFCOURT FINANCIAL GROUP, INC.
July 29, 1986 - January 7, 1987
H.J. MEYERS & CO., INC.
May 1, 1986 - August 7, 1986
RONEY & CO. L.L.C.
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
Series 8
Date: 12/11/1995
General Securities Sales Supervisor Examination (Options Module & General Module)Current Firm
STRUCTURED ASSET INVESTORS, LLC
CRD#: 131539 / SEC#: 801-63263
Contact information
Red Flags
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