Carleen A. Pirro
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.
Carleen Ann Pirro, CFP® was a registered financial professional .
Carleen is a previously registered financial professional and started their career in finance in 1989. Carleen had worked at 7 firms and has passed the Series 65, Series 63, SIE and Series 7 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Start date: 1994
Experience
January 26, 2022 - October 3, 2025
FROST INVESTMENT SERVICES
February 16, 2017 - December 31, 2021
FROST INVESTMENT SERVICES
January 3, 2001 - October 3, 2025
FROST BROKERAGE SERVICES, INC.
October 25, 1996 - January 5, 2000
THE EQUITABLE LIFE ASSURANCE SOCIETY OF THE UNITED STATES
October 25, 1996 - December 20, 2000
EQUITABLE ADVISORS, LLC
April 5, 1996 - October 16, 1996
THE LINCOLN NATIONAL LIFE INSURANCE COMPANY
April 5, 1996 - October 16, 1996
OSAIC FA, INC.
June 14, 1994 - October 16, 1996
THE LINCOLN NATIONAL LIFE INSURANCE COMPANY
June 14, 1994 - October 16, 1996
OSAIC FA, INC.
May 23, 1989 - August 17, 1993
MERCER ALLIED CORPORATION
Primary Firm SEC Registration
FROST INVESTMENT SERVICES
CRD#: 286129 / SEC#: 801-108754
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
FROST INVESTMENT SERVICES
CRD#: 286129 / SEC#: 801-108754
Contact information
SEC notice filing (28 States and Territories)
Documents
Regulatory assets under management
| Total Number of Accounts | 3,179 |
| AUM (Assets Under Management) | $ 2,976,654,932 |
Accountant surprise examination report
| Filing Date | Form ADV-E Cover | Form ADV-E Report |
|---|---|---|
| 10/10/2024 | ||
| 11/27/2023 | ||
| 12/21/2022 |
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.
