Caroline T. Primus
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.
Caroline T Primus, CFP®, who also goes by Caroline Thorne Carlin, Caroline Thorne Primus, Caroline Thorne, was a registered financial professional .
Caroline is a previously registered financial professional and started their career in finance in 1985. Caroline had worked at 6 firms and has passed the Series 63, Series 7TO, SIE, Series 7, Series 6 and Series 26 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
December 15, 2015 - October 14, 2021
FIRST COMMAND ADVISORY SERVICES
January 30, 2013 - December 15, 2015
FIRST COMMAND BROKERAGE SERVICES, INC.
April 11, 2012 - October 14, 2021
FIRST COMMAND BROKERAGE SERVICES, INC.
May 24, 2001 - May 23, 2006
FORESIDE FUNDS DISTRIBUTORS LLC
January 15, 1997 - February 13, 2001
RTE SECURITIES, INC.
November 19, 1985 - December 31, 1996
LINCOLN INVESTMENT
August 29, 1985 - October 18, 1985
DELAWARE DISTRIBUTORS, L.P.
Primary Firm SEC Registration
FIRST COMMAND ADVISORY SERVICES
CRD#: 281958 / SEC#: 801-56942
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 7TO
Date: 12/19/2022
General Securities Representative ExaminationCurrent Firm
FIRST COMMAND ADVISORY SERVICES
CRD#: 281958 / SEC#: 801-56942
Contact information
SEC notice filing (52 States and Territories)
Regulatory assets under management
| Total Number of Accounts | 110,166 |
| AUM (Assets Under Management) | $ 22,090,760,499 |
Red Flags
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