Joyce G. Cmiel
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.
Joyce G Cmiel, who also goes by Joyce Eleanor Gray, was a registered financial professional .
Joyce is a previously registered financial professional and started their career in finance in 1985. Joyce had worked at 4 firms and has passed the Series 65, Series 63, SIE and Series 7 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
May 15, 2019 - January 9, 2024
CAROLINAS WEALTH CONSULTING LLC
September 6, 2018 - April 17, 2001
CAROLINAS INVESTMENT CONSULTING LLC
November 11, 2013 - January 9, 2024
CAROLINAS INVESTMENT CONSULTING LLC
November 26, 1991 - July 7, 1997
A. G. EDWARDS & SONS, INC.
November 19, 1985 - November 29, 1991
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
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
CAROLINAS WEALTH CONSULTING LLC
CRD#: 300003 / SEC#: 801-60158
Contact information
Regulatory assets under management
| Total Number of Accounts | 2,252 |
| AUM (Assets Under Management) | $ 1,451,765,626 |
Accountant surprise examination report
| Filing Date | Form ADV-E Cover | Form ADV-E Report |
|---|---|---|
| 11/13/2024 |
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.
