Carl L. Rapp
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 Louis Rapp JR, who also goes by Skip Rapp Jr, Carl Louis Skip, was a registered financial professional .
Carl is a previously registered financial professional and started their career in finance in 1988. Carl had worked at 15 firms and has passed the Series 63, Series 7, Series 28, Series 53, Series 24 and Series 27 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
July 27, 2001 - October 16, 2001
ACTION II, INC.
September 12, 2000 - December 20, 2000
MILLER AKINS & COMPANY, INC.
May 19, 1999 - April 25, 2000
ACTION II, INC.
February 18, 1998 - February 23, 1999
OROSEY & PEPE CAPITAL MARKETS, INC.
January 5, 1998 - April 2, 1998
INNOVA SECURITIES, INC.
May 17, 1993 - October 1, 1993
CHASE GLOBAL SECURITIES, INC
November 3, 1992 - May 5, 1993
INVESTORS ST.
April 27, 1992 - April 23, 1993
STANTON INVESTMENT SERVICES, INC.
October 22, 1991 - May 7, 1993
CORT MACKENZIE SECURITIES, INC.
August 16, 1991 - June 9, 1992
HOULIHAN LOKEY CAPITAL, INC.
July 30, 1991 - November 17, 1992
ANDREWS, HENTGES & ASSOCIATES, INC.
September 11, 1990 - July 1, 1991
TREM CAPITAL FUNDING, INC.
June 1, 1990 - July 25, 1990
PHN CAPITAL FUNDING INC.
March 28, 1990 - December 21, 1990
DORADO SECURITIES CORPORATION
June 20, 1988 - February 1, 1991
WARD AND ASSOCIATES, INC.
March 24, 1988 - November 19, 1990
MERRITT FORBES & COMPANY, 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 28
Date: 12/18/1997
Introducing Broker/Dealer Financial Operations Principal ExaminationCurrent Firm
ACTION II, INC.
CRD#: 46489 / SEC#: , 8-51443
Contact information
Documents
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.
