Carl L. Means
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.
Carl Lester Means JR, who also goes by Carl L Means Jr, Carl Lester Means, was a registered financial professional .
Carl is a previously registered financial professional and started their career in finance in 1989. Carl had worked at 13 firms and has passed the Series 66, Series 63, SIE, Series 7, Series 55 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
September 4, 2018 - October 17, 2025
ACADEMY SECURITIES, INC.
October 24, 2013 - June 18, 2018
STERN BROTHERS & CO.
September 18, 2012 - August 6, 2013
D.A. DAVIDSON & CO.
December 16, 2009 - December 31, 2010
BANKERS & INVESTORS CO.
April 17, 1997 - December 19, 2001
SECURITY INVESTMENT COMPANY OF KANSAS CITY
January 13, 1997 - April 2, 1997
WALDRON & CO., INC.
June 18, 1993 - November 25, 1996
COASTAL SECURITIES, INC.
April 23, 1993 - April 27, 1993
THOMAS GREEN SECURITIES, INC.
July 23, 1992 - August 20, 1992
REYNOLDS KENDRICK STRATTON, INC.
March 27, 1992 - June 19, 1992
DEUTSCHE IXE, LLC
July 12, 1991 - March 13, 1992
TD AMERITRADE, INC.
September 4, 1990 - October 2, 1990
WELLS FARGO CLEARING SERVICES, LLC
August 29, 1989 - September 4, 1990
BATEMAN EICHLER, HILL RICHARDS, INCORPORATED
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
Series 55
Date: 6/28/1999
Limited Representative-Equity Trader ExamCurrent Firm
ACADEMY SECURITIES, INC.
CRD#: 17433 / SEC#: , 8-35173
Contact information
FINRA licenses (38 States and Territories)
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| MIMS, RONALD CHANCE | CHAIRMAN, CEO | 5637540 |
| GRAHAM, ANTHONY R | FINOP | 4959159 |
| GRAHAM, ANTHONY R | PRINCIPAL OPERATIONS OFFICER | 4959159 |
| GRAHAM, ANTHONY R | PRINCIPAL FINANCIAL OFFICER | 4959159 |
| GRAHAM, ANTHONY R | COO | 4959159 |
| MCCONKEY, PHILIP JOSEPH | VICE CHAIRMAN | 3253139 |
| WILCOX, SPENCER HAMILTON | PRESIDENT | 5802885 |
| BOYD, MICHAEL BARTOW | CHIEF COMPLIANCE OFFICER, MUNICIPAL SECURITIES PRINCIPAL,REGISTERED OPTIONS PRINCIPAL, AML OFFICER | 2557814 |
Disclosures
| Regulatory Event | 1 |
Red Flags
Disclosures can be potential red flags, including customer disputes, regulatory fines, employer terminations, bankruptcies, judgments, liens, or certain criminal activities.
Check for any disclosures as part of your thorough research when choosing an advisor.
