Carew A. Carswell
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.
Carew Alexander Carswell, who also goes by Alex Carswell, was a registered financial professional .
Carew is a previously registered financial professional and started their career in finance in 1987. Carew had worked at 9 firms and has passed the Series 65, Series 63, Series 7 and Series 24 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
May 28, 2010 - December 31, 2019
CAREW CARSWELL CO.
October 3, 2009 - December 1, 2011
NAVAID FINANCIAL SERVICES, INC.
August 7, 2006 - October 4, 2007
LATAM INVESTMENTS, LLC
October 13, 2005 - August 7, 2006
LATAM INVESTMENTS, LLC
November 27, 2001 - October 20, 2003
PARAGON FINANCIAL GROUP, INCORPORATED
July 13, 1999 - October 31, 2001
DONALDSON & CO., INCORPORATED
May 26, 1992 - June 11, 1999
THE INVESTMENT CENTER, INC.
July 5, 1990 - January 6, 1992
MORGAN STANLEY DW INC.
August 3, 1987 - July 13, 1990
PRUDENTIAL EQUITY GROUP, LLC
February 9, 1987 - August 15, 1987
LEHMAN BROTHERS INC.
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
CAREW CARSWELL CO.
CRD#: 126294 / SEC#:
Contact information
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.
