Dora C. Carl
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.
Dora Catherine Carl, who also goes by Campbell Carl, was a registered financial professional .
Dora is a previously registered financial professional and started their career in finance in 1985. Dora had worked at 3 firms and has passed the Series 6 exam.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
September 25, 2003 - October 5, 2017
WOODMONT ADVISORY GROUP, INC.
January 30, 1987 - November 28, 1988
MONY SECURITIES CORPORATION
May 16, 1985 - December 22, 1986
AETNA LIFE INSURANCE AND ANNUITY COMPANY
Primary Firm SEC Registration
WOODMONT ADVISORY GROUP, INC.
CRD#: 112276 / SEC#: 801-113349
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
WOODMONT ADVISORY GROUP, INC.
CRD#: 112276 / SEC#: 801-113349
Contact information
SEC notice filing (5 States and Territories)
Documents
Regulatory assets under management
| Total Number of Accounts | 299 |
| AUM (Assets Under Management) | $ 125,441,866 |
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.
