Christina A. Carroll
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.
Christina Anne Carroll, who also goes by Christina Mullane Carroll, Carroll Mullane, Christina Mullane, was a registered financial professional .
Christina is a previously registered financial professional and started their career in finance in 1987. Christina had worked at 8 firms and has passed the Series 65, Series 63, SIE, Series 7, Series 6, Series 24, Series 14 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 29, 2015 - August 28, 2018
OPPENHEIMERFUNDS DISTRIBUTOR, INC.
September 10, 2007 - June 1, 2011
MORGAN STANLEY INVESTMENT ADVISORS INC.
July 19, 2006 - January 30, 2015
MORGAN STANLEY DISTRIBUTION, INC.
June 1, 2004 - October 19, 2004
INVESCO CAPITAL MARKETS, INC.
June 1, 2004 - October 19, 2004
MORGAN STANLEY DISTRIBUTORS INC.
June 1, 2004 - October 29, 2004
MORGAN STANLEY DISTRIBUTION, INC.
December 6, 2001 - October 15, 2007
MORGAN STANLEY & CO. LLC
October 4, 2000 - November 29, 2001
GLOBAL ALTERNATIVE INVESTMENT SERVICES, INC.
December 21, 1987 - October 2, 2000
LIEBER & COMPANY
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: 12/16/1997
General Securities Sales Supervisor Examination (Options Module & General Module)Current Firm
OPPENHEIMERFUNDS DISTRIBUTOR, INC.
CRD#: 7834 / SEC#: , 8-22992
Contact information
Documents
Disclosures
| Regulatory Event | 5 |
| Civil Event | 1 |
Red Flags
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