Carolyn G. Tobin
Professional summary
Carolyn Gillespie Tobin, who also goes by Carolyn Mae Gillespie, Carolyn G Tobin, is a registered financial professional currently at ASSETPOINT FINANCIAL, LLC located in Arlington, Virginia.
Carolyn is registered as a RR (Registered Representative) and started their career in finance in 1990. Carolyn has worked at 4 firms and has passed the Series 63, SIE and Series 7 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary) - BD
Click below to view Carolyn Gillespie Tobin's CRS (Customer Relationship Summary).
Certified licenses
Experience
August 8, 2016 - Present
ASSETPOINT FINANCIAL, LLC
Office #1: 1300 North 17th Street Suite 1800, Arlington, VA 22209-3810May 31, 2011 - October 2, 2014
DWS DISTRIBUTORS, INC.
December 19, 2003 - May 31, 2011
DEAM INVESTOR SERVICES, INC.
February 1, 1995 - December 31, 2003
DWS DISTRIBUTORS, INC.
January 1, 1990 - February 1, 1995
KEMPER FINANCIAL SERVICES, INC.
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
Visual representation of state registrations
(8/8/2016)
(8/8/2016)
(8/8/2016)
Exams
FINRA
Current Firm
ASSETPOINT FINANCIAL, LLC
CRD#: 168796 / SEC#: , 8-69332
Contact information
FINRA licenses (53 States and Territories)
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| INTRAFI LLC (F/K/A INTRAFI NETWORK LLC) | MEMBER | |
| BERGIN, WILLIAM THOMAS | CHIEF COMPLIANCE OFFICER, AML COMPLIANCE OFFICER & EXECUTIVE REPRESENTATIVE | 3056261 |
| KINNER, STEPHEN JOHN | CHIEF EXECUTIVE OFFICER | 2542667 |
| PARISE, JANICE DRU | FINOP, PRINCIPAL FINANCIAL OFFICER AND PRINCIPAL OPERATIONS OFFICER | 2338583 |
Red Flags
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