Carolyn E. O'brien
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.
Carolyn Elizabeth O'brien, who also goes by Carolyn Elizabeth Kersting, Carolyn Elizabeth Tucker, Carolyn K Tucker, Carolyn Kersting Tucker, was a registered financial professional .
Carolyn is a previously registered financial professional and started their career in finance in 1987. Carolyn had worked at 8 firms and has passed the Series 63, Series 22 and Series 6 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
January 25, 2008 - June 28, 2013
THE LEADERS GROUP, INC.
October 22, 2007 - November 20, 2008
CPS FINANCIAL & INSURANCE SERVICES, INC.
September 11, 2006 - October 24, 2007
VOYA FINANCIAL ADVISORS, INC.
July 26, 2002 - September 22, 2004
INTERLINK SECURITIES CORP.
January 21, 1999 - July 5, 2002
JOHN HANCOCK DISTRIBUTORS LLC
April 1, 1997 - January 4, 1999
PRINCIPAL SECURITIES, INC.
October 12, 1990 - December 31, 1996
ROBERT W. BAIRD & CO. INCORPORATED
October 12, 1990 - February 27, 1997
NORTHWESTERN MUTUAL INVESTMENT SERVICES, LLC
January 4, 1988 - August 21, 1989
ROBERT W. BAIRD & CO. INCORPORATED
August 24, 1987 - August 21, 1989
NORTHWESTERN MUTUAL INVESTMENT 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
Current Firm
THE LEADERS GROUP, INC.
CRD#: 37157 / SEC#: , 8-47639
Contact information
FINRA licenses (52 States and Territories)
Disclosures
| Regulatory Event | 4 |
Red Flags
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