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Carol Landiscollyer

CRD# 1850710·Registered 1988 - 2017
Previously Registered: Being a previously registered professional could mean that Carol 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.

Professional Summary

Carol Landiscollyer was a registered financial advisor. Carol was a previously registered financial professional and started their career in finance 1988 - 2017. Carol had worked at 1 firm and has passed the Series 63, SIE, Series 7 and Series 6 exams.

At a Glance

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Fiduciary Standard

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Fee Structure

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Account Minimum

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Active Clients

Fiduciary Standard

Fee Structure

Account Minimum

Active Clients

Other Aliases

There are no additional aliases reported.

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Videos & Posts

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Contact Information

No current employment

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Disclosures are events reported to regulators, such as customer disputes, regulatory actions, employment separations, or financial events. Some are resolved, denied, or contested — a disclosure is not a verdict. We recommend asking an advisor directly about any disclosure on their record.

Disclosures on record.

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.

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Years of Experience

38 years in the financial services industry

Current & Past Employments

INVESTACORP, INC.·CRD# 7684
BD
Corrales, NM
September 2, 1988 - September 7, 2017

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Current Firm

II
INVESTACORP, INC.

ARCHER, ZWIGARD & ASSOCIATES-THE INVESTACORP GROUP, INC. | INVESTACORP, INC.

CRD#: 7684 / SEC#: 8-22598
BD
Terminated by SEC on 09/29/2020

Contact Information

Established

Florida since 01/26/1978

Firm Type

Corporation

Fiscal Year End

December

Documents

Direct owners and executive officers

NamePositionCRD#
ADVISOR GROUP HOLDINGS, INC.SHAREHOLDER—
ARNEAUD, MARCUS ANTHONYCHIEF COMPLIANCE OFFICER2858859
BLANCATO, PHILIP SALVATOREDIRECTOR2122221
CHANDER, RANAEXECUTIVE VICE PRESIDENT, CIO4853245
DUDAS, STEPHEN STANLEYCFO4820047
FARRELL, PATRICK CHRISTOPHERDIRECTOR,PRESIDENT, CEO1454441
GIOVANNIELLO, JOSEPH JRDIRECTOR, ASSISTANT SECRETARY3086071
MCKENNA, NINASECRETARY6302448
PRICE, JAMES DALECHAIRMAN1243224
SCHLUETER, MATTHEW ADAMEXECUTIVE VICE PRESIDENT, DIRECTOR2627931
TARENTINO, MELISSAGENERAL COUNSEL4470836

Disclosures

Regulatory Event

5

Arbitration

3

Bond

2

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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.

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State Registrations and Notice Filings

Listed states reflect where the advisor is authorized to serve clients under state regulations.
This advisor is not registered in any state.

Exams

Financial professionals may take different exams throughout their careers based on the types of services they provide and roles they perform.

Series 63 — Uniform Securities Agent State Law Examination

Passed Sep 1988About the Series 63 exam

SIE — Securities Industry Essentials Examination

Passed Sep 2017About the SIE exam

Series 7 — General Securities Representative Examination

Passed Apr 1998About the Series 7 exam

Series 6 — Investment Company Products/Variable Contracts Representative Examination

Passed Sep 1988About the Series 6 exam

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CRS (Client Relationship Summary)

The CRS(Customer Relationship Summary) document is not provided.

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