Marianne Carter
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.
Marianne Carter was a registered financial professional .
Marianne is a previously registered financial professional and started their career in finance in 1988. Marianne had worked at 7 firms and has passed the Series 63, SIE, Series 6 and Series 22 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
December 14, 2020 - March 4, 2026
SALIENT CAPITAL L.P.
June 15, 2009 - December 15, 2020
ALPS DISTRIBUTORS, INC.
October 13, 2004 - June 12, 2009
QUASAR DISTRIBUTORS, LLC
November 18, 1999 - September 27, 2004
FORESIDE DISTRIBUTION SERVICES, L.P.
August 25, 1994 - May 18, 1998
CINCINNATI ANALYSTS, INC.
February 16, 1993 - August 19, 1994
ASSOCIATED SECURITIES CORP.
December 21, 1988 - January 20, 1992
LIQUIDITY FINANCIAL ADVISORS, 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
Current Firm
SALIENT CAPITAL L.P.
CRD#: 147912 / SEC#: , 8-67938
Contact information
FINRA licenses (52 States and Territories)
Red Flags
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