Carol S. Grasso
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 Sue Grasso, who also goes by Carol Sue Taylor, was a registered financial professional .
Carol is a previously registered financial professional and started their career in finance in 1987. Carol had worked at 7 firms and has passed the Series 63, SIE, Series 7 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
March 17, 2016 - December 31, 2016
MOLONEY INVESTMENT ADVISORY LLC
February 23, 2016 - December 31, 2018
MOLONEY SECURITIES ASSET MANAGEMENT LLC
August 17, 2012 - April 27, 2016
MOLONEY SECURITIES CO., INC.
August 17, 2012 - December 31, 2018
MOLONEY SECURITIES CO., INC.
August 25, 2000 - August 24, 2012
EAGLE ONE INVESTMENTS, LLC
October 8, 1999 - August 24, 2012
EAGLE ONE INVESTMENTS, LLC
June 23, 1989 - October 12, 1999
INVESTMENT CENTERS OF AMERICA, INC.
April 6, 1988 - August 9, 1989
AMERIPRISE FINANCIAL SERVICES, LLC
May 12, 1987 - April 7, 1988
INTEGRATED RESOURCES EQUITY CORPORATION
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
MOLONEY INVESTMENT ADVISORY LLC
CRD#: 282140 / SEC#: 801-107025
Contact information
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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