Carolyn A. Hardgrove
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.
Carolyn Ann Hardgrove, who also goes by Carolyn Ann Balmer, Carolyn Ann Davis, Carolyn Ann Wilders, was a registered financial professional .
Carolyn is a previously registered financial professional and started their career in finance in 1994. Carolyn had worked at 1 firm and has passed the SIE and Series 6 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
October 4, 1994 - February 2, 2015
OMEGA SECURITIES, INC.
State Registrations and Notice Filings
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Visual representation of state registrations
Exams
Current Firm
OMEGA SECURITIES, INC.
CRD#: 7164 / SEC#: , 8-20225
Contact information
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| BRYANT, TAMERA ANN | MANAGING DIRECTOR AND CHIEF COMPLIANCE OFFICER | 2486047 |
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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