Claudia J. Eckels
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.
Claudia Joy Eckels, who also goes by Claudia Joy Carson, was a registered financial professional .
Claudia is a previously registered financial professional and started their career in finance in 1985. Claudia had worked at 12 firms and has passed the SIE, 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
April 18, 2012 - January 7, 2019
CAPITAL BROKERAGE CORPORATION
September 20, 2010 - April 2, 2012
1851 SECURITIES, INC
February 4, 2009 - September 20, 2010
AXCELUS FINANCIAL DISTRIBUTION COMPANY
May 14, 2007 - February 4, 2009
VP DISTRIBUTORS LLC
June 22, 2004 - September 22, 2004
VERAVEST, INC.
July 1, 1996 - December 6, 2006
VERAVEST INVESTMENTS, INC.
August 25, 1992 - January 14, 1993
FIRST VARIABLE CAPITAL SERVICES, INC.
August 10, 1992 - March 19, 1996
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
April 15, 1991 - December 7, 1992
MONARCH SECURITIES, INC.
March 23, 1987 - June 4, 1991
MONARCH FINANCIAL SERVICES, INC.
May 16, 1986 - February 13, 1987
CADARET, GRANT & CO., INC.
November 22, 1985 - May 13, 1986
PRUCO SECURITIES, LLC.
State Registrations and Notice Filings
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Visual representation of state registrations
Exams
Current Firm
CAPITAL BROKERAGE CORPORATION
CRD#: 10465 / SEC#: , 8-26614
Contact information
FINRA licenses (53 States and Territories)
Documents
Disclosures
| Regulatory Event | 3 |
| Arbitration | 1 |
Red Flags
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