Carol J. Wildermuth
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 Jean Wildermuth, who also goes by Carol Jean Norton, was a registered financial professional .
Carol is a previously registered financial professional and started their career in finance in 1986. Carol had worked at 7 firms and has passed the Series 66, Series 63, Series 99TO, SIE, Series 3, Series 7, Series 14, Series 10, Series 9, Series 53, Series 4, Series 28, Series 24 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
November 20, 2019 - October 29, 2023
ASTERIA WEALTH LLC
October 3, 2017 - November 7, 2022
WILDERMUTH SECURITIES, LLC
February 15, 2005 - October 30, 2023
KALOS MANAGEMENT
December 15, 2004 - February 15, 2005
KALOS MANAGEMENT
March 6, 2003 - March 22, 2005
KALOS CAPITAL, INC.
February 4, 1998 - December 6, 2022
KALOS CAPITAL, INC.
December 3, 1993 - May 17, 1996
LEHMAN BROTHERS INC.
October 26, 1990 - July 13, 1992
MORGAN STANLEY & CO. LLC
November 21, 1988 - May 29, 1990
MORGAN STANLEY & CO. LLC
October 22, 1986 - October 20, 1987
AMERIPRISE FINANCIAL SERVICES, LLC
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 99TO
Date: 1/2/2023
Operations Professional ExaminationSeries 28
Date: 2/20/1998
Introducing Broker/Dealer Financial Operations Principal ExaminationSeries 8
Date: 4/9/1994
General Securities Sales Supervisor Examination (Options Module & General Module)Current Firm
ASTERIA WEALTH LLC
CRD#: 285106 / SEC#: 801-108406
Contact information
Regulatory assets under management
| Total Number of Accounts | 519 |
| AUM (Assets Under Management) | $ 98,360,548 |
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.
