Anne M. Carley
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.
Anne Marie Carley, who also goes by Annemarie Carley, Anne Marie Kundapoor, Anne Marie Taverna, Annemarie Taverna, was a registered financial professional .
Anne is a previously registered financial professional and started their career in finance in 1987. Anne had worked at 10 firms and has passed the Series 63, Series 25, Series 7, Series 27 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
February 12, 2013 - September 12, 2013
STILLPOINT CAPITAL, LLC
May 9, 2007 - March 7, 2011
FORESIDE DISTRIBUTION SERVICES, L.P.
January 19, 2005 - February 28, 2006
RAMPART FINANCIAL SERVICES, INC.
December 12, 2002 - November 20, 2003
KALIN ASSOCIATES, INC.
October 30, 2002 - August 3, 2004
R.J. MURPHY & ASSOCIATES, LLC
June 24, 2002 - November 20, 2002
LACONIA CAPITAL CORPORATION
December 6, 1994 - December 22, 1999
YANKEE FINANCIAL GROUP, INC.
February 15, 1989 - December 21, 1994
SAFIAN INVESTMENT RESEARCH, INC.
December 21, 1987 - September 18, 2000
INDEPENDENT INVESTMENTS, INC.
January 21, 1987 - November 24, 1987
NATHAN & LEWIS SECURITIES, 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
Series 25
Date: 3/24/2003
NYSE Trading Assistant ExaminationCurrent Firm
STILLPOINT CAPITAL, LLC
CRD#: 133146 / SEC#: , 8-66688
Contact information
FINRA licenses (52 States and Territories)
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.
