Carolyn M. Blaine
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.
Carolyn Michele Blaine, who also goes by Carolyn M Blaine, Carolyn Blaine, was a registered financial professional .
Carolyn is a previously registered financial professional and started their career in finance in 1988. Carolyn had worked at 6 firms and has passed the Series 65, Series 63, SIE, Series 7 and Series 3 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
August 14, 2020 - June 1, 2021
VANGUARD MARKETING CORPORATION
May 28, 2009 - July 29, 2019
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
July 17, 2008 - July 29, 2019
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
January 1, 2008 - July 14, 2008
WELLS FARGO CLEARING SERVICES, LLC
December 15, 2005 - January 3, 2008
A. G. EDWARDS & SONS, INC.
January 24, 2005 - December 1, 2005
WHITNEY SECURITIES, L.L.C.
November 19, 2002 - August 27, 2004
WHITNEY SECURITIES, L.L.C.
June 3, 1991 - July 30, 2001
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
February 23, 1988 - September 1, 1989
CIBC WORLD MARKETS CORP.
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
VANGUARD MARKETING CORPORATION
CRD#: 7452 / SEC#: , 8-21570
Contact information
FINRA licenses (53 States and Territories)
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| THE VANGUARD GROUP, INC. | PARENT COMPANY | |
| BENCHENER, MATTHEW JOHN | CHAIRMAN, PRESIDENT, DIRECTOR, CEO-DESIGNEE | 5569805 |
| BENDL, JOHN WESLEY | DIRECTOR, SENIOR VICE PRESIDENT | 6931980 |
| BISORDI, JOHN | DIRECTOR, VICE PRESIDENT, GENERAL COUNSEL | 7526828 |
| BOATENG, AMMA ACHEAMPOMAA | DIRECTOR, SENIOR VICE PRESIDENT | 4677078 |
| BRANCATO, MATTHEW CLARK | DIRECTOR, VICE PRESIDENT | 6220380 |
| JAMES, JOHN MARK | DIRECTOR, SENIOR VICE PRESIDENT | 5594356 |
| PANTALONE, SALVATORE L JR | PRINCIPAL FINANCIAL OFFICER | 2887373 |
| PETTY, DAVID | VICE PRESIDENT | 5684895 |
| STEWART, MARC CHRISTOPHER | CHIEF COMPLIANCE OFFICER | 2688699 |
| TRETTER, MATTHEW ANTHONY | PRINCIPAL OPERATIONS OFFICER | 5956530 |
Disclosures
| Regulatory Event | 48 |
| Arbitration | 8 |
Red Flags
Disclosures can be potential red flags, including customer disputes, regulatory fines, employer terminations, bankruptcies, judgments, liens, or certain criminal activities.
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