Carol S. Mackie
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 Susan Mackie, who also goes by Carol Susan Hogg Miss, Carol Susan Hogg, Carol Susan Mackie, Susan Mackie, Carol Susan Mays Mrs, C. Susan Mackie, Susan Mackie, Carol Susan Mays, C Susan Smith, Carol Susan Smith, No First Name Susan Smith, Susan Smith, C Susan Smith, Carol Susan Smith, Susan Smith, was a registered financial professional .
Carol is a previously registered financial professional and started their career in finance in 1990. Carol had worked at 9 firms and has passed the Series 63, SIE, Series 7 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
November 7, 2017 - September 27, 2019
LION STREET FINANCIAL, LLC
February 16, 2016 - October 18, 2017
BBVA SECURITIES INC.
August 28, 2014 - September 5, 2014
MML INVESTORS SERVICES, LLC
February 25, 2010 - August 29, 2012
BBVA COMPASS INVESTMENT SOLUTIONS, INC
May 29, 2002 - December 23, 2009
GUARANTY BROKERAGE SERVICES, INC.
June 14, 2000 - March 16, 2001
NATHAN & LEWIS SECURITIES, INC.
September 10, 1999 - June 14, 2000
GUARANTY BROKERAGE SERVICES, INC.
May 17, 1995 - September 10, 1999
CAPITAL BROKERAGE CORPORATION
August 12, 1992 - December 31, 1993
PFS INVESTMENTS INC.
January 29, 1990 - August 17, 1990
MARKETING ONE SECURITIES, 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
LION STREET FINANCIAL, LLC
CRD#: 165828 / SEC#: , 8-69183
Contact information
FINRA licenses (23 States and Territories)
Disclosures
| Regulatory Event | 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.
