Virginia K. Carter
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.
Virginia Kathleen Carter, who also goes by Kathy Carter, was a registered financial professional .
Virginia is a previously registered financial professional and started their career in finance in 1989. Virginia had worked at 6 firms and has passed the Series 65, Series 63, SIE, Series 7 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
December 10, 2004 - April 14, 2015
FNBB CAPITAL MARKETS, LLC
September 19, 2001 - September 9, 2002
&PARTNERS
September 19, 2001 - September 9, 2002
&PARTNERS
March 8, 1996 - September 28, 2001
CETERA WEALTH SERVICES, LLC
February 18, 1994 - March 15, 1996
WALNUT STREET SECURITIES, INC.
November 12, 1993 - March 9, 1994
UBS FINANCIAL SERVICES INC.
September 19, 1989 - March 12, 1993
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
Current Firm
FNBB CAPITAL MARKETS, LLC
CRD#: 132091 / SEC#: , 8-66553
Contact information
FINRA licenses (43 States and Territories)
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| FIRST NATIONAL BANKER'S BANKSHARES, INC. | PARENT COMPANY | |
| BOUDREAUX, LAURA J. | PRINCIPAL/CHIEF COMPLIANCE OFFICER/CFO/FINOP/AML OFFICER/PRINCIPAL FINANCIAL OFFICER | 4823412 |
| CORTS, CHRISTIAN HAAS | PRESIDENT/CHIEF EXECUTIVE OFFICER/DESIGNATED PRINCIPAL/EVP/CHIEF OPERATING OFFICER/PRINCIPAL OPERATIONS OFFICER | 2581628 |
| QUINLAN, JOSEPH FRANCIS JR | MEMBER | 1579877 |
Disclosures
| Regulatory Event | 2 |
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.
