Carol A. Sprich
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 Ann Sprich, who also goes by Carol Ann Baer, Carol Ann Sprick, Carol Ann Sprich, was a registered financial professional .
Carol is a previously registered financial professional and started their career in finance in 1990. Carol had worked at 5 firms and has passed the Series 63, Series 99TO, SIE, Series 7 and Series 11 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
July 5, 2022 - September 5, 2023
CONCOURSE FINANCIAL GROUP SECURITIES, INC.
November 7, 2016 - July 1, 2022
STONEX SECURITIES INC.
August 18, 2015 - April 25, 2016
RAYMOND JAMES & ASSOCIATES, INC.
April 3, 2013 - May 30, 2014
CONCOURSE FINANCIAL GROUP SECURITIES, INC.
February 13, 2013 - March 8, 2013
RAYMOND JAMES & ASSOCIATES, INC.
February 13, 2007 - February 13, 2013
MORGAN KEEGAN & COMPANY, LLC
March 26, 1992 - February 13, 2007
AMSOUTH INVESTMENT SERVICES, INC.
March 8, 1990 - March 20, 1991
AMSOUTH INVESTMENT 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
Exams
Series 99TO
Date: 1/2/2023
Operations Professional ExaminationSeries 11
Date: 3/6/1990
Assistant Representative-Order Processing Qualification ExamCurrent Firm
CONCOURSE FINANCIAL GROUP SECURITIES, INC.
CRD#: 15708 / SEC#: 801-56010, 8-32590
Contact information
FINRA licenses (2 States and Territories)
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| PROTECTIVE LIFE CORPORATION | PARENT | |
| MCCRELESS, KEVIN LUCIUS | CHIEF COMPLIANCE OFFICER | 5180100 |
Regulatory assets under management
| Total Number of Accounts | 20,957 |
| AUM (Assets Under Management) | $ 4,373,015,542 |
Disclosures
| Regulatory Event | 64 |
| Arbitration | 5 |
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.
