Carol W. Stephens
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 Waite Stephens, who also goes by Carol Grant Stephens, Carol Grant Waite, was a registered financial professional .
Carol is a previously registered financial professional and started their career in finance in 1987. Carol had worked at 8 firms and has passed the Series 63, 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
August 16, 2010 - December 31, 2014
PARAKLETE FINANCIAL, INC.
July 28, 2006 - June 3, 2009
TRUIST INVESTMENT SERVICES, INC.
July 24, 2006 - June 3, 2009
TRUIST INVESTMENT SERVICES, INC.
December 19, 2005 - June 20, 2006
BMO HARRIS FINANCIAL ADVISORS, INC.
December 16, 2005 - June 20, 2006
BMO HARRIS FINANCIAL ADVISORS, INC.
June 24, 2004 - December 31, 2005
HARRISDIRECT LLC
June 9, 2004 - December 31, 2005
HARRISDIRECT LLC
May 1, 2002 - October 28, 2003
HARRISDIRECT LLC
December 4, 2001 - October 28, 2003
HARRISDIRECT LLC
November 6, 2001 - May 1, 2002
HARRIS INVESTORLINE INC.
August 4, 1992 - October 8, 1993
COMMONWEALTH FINANCIAL NETWORK
April 1, 1989 - December 16, 1991
ALLEGHENY INVESTMENTS, LTD.
November 2, 1987 - February 4, 1989
KAUFMAN INVESTMENTS CORPORATION
State Registrations and Notice Filings
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Visual representation of state registrations
Exams
Current Firm
PARAKLETE FINANCIAL, INC.
CRD#: 142323 / SEC#:
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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