Carol S. Geller
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.
Carol Shira Geller, who also goes by Carol Geller, Carol Karp Goodman, Carol Karp, was a registered financial professional .
Carol is a previously registered financial professional and started their career in finance in 1988. Carol had worked at 4 firms and has passed the Series 63, Series 62, Series 22 and Series 6 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
December 16, 1994 - March 6, 1996
CAPITAL MARKETS GROWTH CORPORATION
August 11, 1992 - November 2, 1994
COLUMBUS FINANCIAL, INC.
April 14, 1992 - August 4, 1992
FORTRESS SECURITIES, INC.
October 26, 1988 - November 19, 1990
NYLIFE SECURITIES LLC
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 62
Date: 8/13/1993
Corporate Securities Limited Representative ExaminationCurrent Firm
CAPITAL MARKETS GROWTH CORPORATION
CRD#: 36302 / SEC#: , 8-47129
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.
