CK
Caroline V. Krider
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CRD#: 1719970
CK
Professional summary
Caroline Vicary Krider was a registered financial professional .
Caroline is registered as a RR (Registered Representative) and started their career in finance in 1987. Caroline had worked at 1 firm and has passed the Series 63, SIE, Series 79 and Series 7 exams.
Question & Answer
Are you a "fiduciary"?
No
Aliases
None
Other business activities
Outside business activity is any business or activity undertaken by an advisor that is outside the scope of their relationship with their firm (e.g., consulting services, real estate, freelance work, teaching, etc.). Investors should stay informed about these activities to ensure no conflicts of interest.
The advisor shows no other business activity.
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Advisors may have various certifications and credentials from different organizations. AdvisorCheck highlights these seven certifications - AIF®, CFP®, ChFC®, CFA, CLU®, CIMA®, CPWA®
NoneExperience
Past
October 20, 1987 - March 19, 1997
FIRSTAR INVESTMENT SERVICES,INC.
BD
CRD#: 14536
MORRIS PLAINS, NJ
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
RR
indicates the advisor is registered as a Registered Representative in this state, allowing them to offer securities such as stocks, bonds, and mutual funds through a broker-dealer.Visual representation of state registrations
RR
Wisconsin(4/8/2013)
Exams
State Security Law Exam
General Industry/Product Exam
General Industry/Product Exam
General Industry/Product Exam
SRO Registrations
RR
FINRA
Current Firm
FI
FIRSTAR INVESTMENT SERVICES,INC.
ELAN INVESTMENT SERVICES, INC. | FIRSTAR INVESTMENT SERVICES,INC. | FIRSTAR INVESTMENT SERVICES, INC. | FIRST WISCONSIN INVESTMENT SERVICES | ELANCO INVESTMENT SERVICES, INC.
CRD#: 14536 / SEC#: , 8-30767
BD
Terminated by SEC on 02/18/2002
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Contact information
Main Address
Mailing Address
Phone number
Established
Wisconsin since 10/21/1983
Firm type
Corporation
Fiscal year end
December
# of Employees
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| U.S. BANCORP MINNESOTA, N.A. | OWNER | |
| DAVIS, RICHARD | DIRECTOR | |
| GUEVARA, CARLOS JOHN | SENIOR VICE PRESIDENT, DIRECTOR OF COMPLIANCE | 1697335 |
| HIDY, RICHARD J. | CHIEF LEGAL OFFICER, SECRETARY | |
| JACOBSMEYER, CAROL JEAN | DIRECTOR | 603832 |
| LAMMERT, MARILYN KAY | ASSISTANT VICE PRESIDENT, SROP, CROP | 1264361 |
| MCCORMACK, DANIEL JOSEPH | INTERIM PRESIDENT | 1808443 |
| SANTIAGO, MARIA ISABEL | SENIOR VICE PRESIDENT, OPERATIONS & BROKER SERVICES | 1275974 |
| SHORT, STEVEN | DIRECTOR | |
| TRUEMAN, DANIEL JOSEPH | FINANCIAL AND OPERATIONS PRINCIPAL | 2912375 |
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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