Carolyn Ann Hardgrove
Professional Summary
Carolyn Ann Hardgrove, who also goes by Carolyn Ann Balmer, Carolyn Ann Davis, Carolyn Ann Wilders, was a registered financial advisor. Carolyn was a previously registered financial professional and started their career in finance 1994 - 2015. Carolyn had worked at 1 firm and has passed the SIE and Series 6 exams.
At a Glance
Fiduciary Standard
Fee Structure
Account Minimum
Active Clients
Fiduciary Standard
Fee Structure
Account Minimum
Active Clients
Other Aliases
Carolyn Ann Balmer, Carolyn Ann Davis, Carolyn Ann Wilders
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Videos & Posts
This advisor has not added any videos or posts yet.
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Contact Information
No current employment
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Disclosures are events reported to regulators, such as customer disputes, regulatory actions, employment separations, or financial events. Some are resolved, denied, or contested — a disclosure is not a verdict. We recommend asking an advisor directly about any disclosure on their record.
Disclosures on record.
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.
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Years of Experience
32 years in the financial services industry
Current & Past Employments
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Current Firm
JOSEPH E. HARDGROVE INVESTMENT SECURITIES, INC. | WORLD FINANCIAL SERVICES, INC. | OMEGA SECURITIES, INC.
Contact Information
Established
Texas since 07/11/1975Firm Type
CorporationFiscal Year End
DecemberFirm Size
SmallDocuments
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| BRYANT, TAMERA ANN | MANAGING DIRECTOR AND CHIEF COMPLIANCE OFFICER | 2486047 |
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Other business activities
Outside business activity is any business or activity undertaken by an advisor that is outside the scope of their relationship with their firm (e.g., consulting services, real estate, freelance work, teaching, etc.). Investors should stay informed about these activities to ensure no conflicts of interest.
The advisor shows no other business activity.
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State Registrations and Notice Filings
Exams
Financial professionals may take different exams throughout their careers based on the types of services they provide and roles they perform.
Series 6 — Investment Company Products/Variable Contracts Representative Examination
Passed Jul 1994About the Series 6 examSimilar Advisors
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CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.Similar Advisors
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