Carol E. Arnott Robbins
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 Elizabeth Arnott Robbins, who also goes by Carol Elizabeth Arnott, Carol Elizabeth Arnottmarkham, was a registered financial professional .
Carol is a previously registered financial professional and started their career in finance in 1988. Carol had worked at 8 firms and has passed the Series 65, Series 63, SIE, Series 7, Series 6, Series 53 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
August 17, 2011 - October 2, 2015
M&T SECURITIES, INC.
August 17, 2011 - October 2, 2015
M&T SECURITIES, INC.
September 7, 2010 - August 29, 2011
WILMINGTON BROKERAGE SERVICES COMPANY
September 7, 2010 - August 29, 2011
WILMINGTON BROKERAGE SERVICES COMPANY
February 2, 2009 - September 8, 2010
FIRST ALLIED SECURITIES, INC.
February 2, 2009 - September 8, 2010
FIRST ALLIED SECURITIES, INC.
October 31, 2008 - February 17, 2009
OSAIC SERVICES, INC.
October 31, 2008 - February 17, 2009
OSAIC SERVICES, INC.
January 28, 2005 - October 31, 2008
AMERICAN GENERAL SECURITIES INCORPORATED
January 4, 2005 - October 31, 2008
AMERICAN GENERAL SECURITIES INCORPORATED
December 20, 2001 - April 16, 2004
WILMINGTON BROKERAGE SERVICES COMPANY
November 17, 1995 - April 16, 2004
WILMINGTON BROKERAGE SERVICES COMPANY
June 16, 1994 - November 3, 1995
DREYFUS INVESTMENT SERVICES COMPANY, LLC
November 16, 1988 - December 10, 1993
THE PRUDENTIAL INSURANCE COMPANY OF AMERICA
November 16, 1988 - June 7, 1994
PRUCO 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
Current Firm
M&T SECURITIES, INC.
CRD#: 17358 / SEC#: , 8-35185
Contact information
FINRA licenses (25 States and Territories)
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| M&T BANK CORPORATION | SHAREHOLDER | |
| BRETT, MICHELLE THERESE | DIRECTOR | 7965730 |
| COLLINS, ATWOOD III | DIRECTOR | 5634496 |
| DETTMANN, BRIAN JOHN | DIRECTOR | 4659106 |
| GIORGIO, HUGH EVANS | DIRECTOR | 7535939 |
| HOGAN, PAUL JOSEPH | DIRECTOR | 2849151 |
| NEWCOMB, MICHAEL FRANCIS II | DIRECTOR | 2097837 |
| PETRUS, TANYA MARIE | FINOP | 4848556 |
| REILLY, MICHAEL MACKAY | DIRECTOR | 4575618 |
| REMORENKO, ALEXSANDRA | CHIEF COMPLIANCE OFFICER | 5699601 |
| REMORENKO, ALEXSANDRA | PRESIDENT | 5699601 |
Disclosures
| Regulatory Event | 6 |
| Arbitration | 1 |
| Bond | 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.
