Carol J. Agresti
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.
Carol J Agresti, who also goes by Carol J Agresti, Carol J. Agresti, Carol Jean Agresti, Carol J Sroka, Carol Jean Sroka, was a registered financial professional .
Carol is a previously registered financial professional and started their career in finance in 1987. Carol had worked at 10 firms and has passed the Series 66, Series 63, Series 7TO, SIE, Series 7 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
October 20, 2022 - May 26, 2023
CITIZENS SECURITIES, INC.
October 20, 2022 - May 26, 2023
CITIZENS SECURITIES, INC.
January 14, 2022 - April 29, 2022
WELLS FARGO CLEARING SERVICES, LLC
January 13, 2022 - April 29, 2022
WELLS FARGO CLEARING SERVICES, LLC
August 16, 2019 - December 10, 2021
J.P. MORGAN SECURITIES LLC
July 11, 2019 - December 10, 2021
J.P. MORGAN SECURITIES LLC
April 25, 2006 - January 24, 2014
TD AMERITRADE INVESTMENT MANAGEMENT, LLC
March 24, 2004 - January 24, 2014
TD AMERITRADE, INC.
October 28, 2003 - January 24, 2014
TD AMERITRADE, INC.
March 29, 1989 - December 31, 2002
CHARLES SCHWAB & CO., INC.
November 25, 1988 - March 11, 1989
INVEST FINANCIAL CORPORATION
June 9, 1988 - August 31, 1988
JOHN HANCOCK MUTUAL LIFE INSURANCE COMPANY
June 9, 1988 - August 31, 1988
SIGNATOR INVESTORS, INC.
March 24, 1987 - February 9, 1988
UBS FINANCIAL SERVICES INC.
Primary Firm SEC Registration
CITIZENS SECURITIES, INC.
CRD#: 39550 / SEC#: 801-61902, 8-48744
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: 7/11/2019
General Securities Representative ExaminationSeries 8
Date: 5/14/1996
General Securities Sales Supervisor Examination (Options Module & General Module)Current Firm
CITIZENS SECURITIES, INC.
CRD#: 39550 / SEC#: 801-61902, 8-48744
Contact information
SEC notice filing (52 States and Territories)
FINRA licenses (52 States and Territories)
Regulatory assets under management
| Total Number of Accounts | 53,044 |
| AUM (Assets Under Management) | $ 9,188,004,183 |
Disclosures
| Regulatory Event | 16 |
| Arbitration | 6 |
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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