Carol A. Desvergnes
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 A Desvergnes was a registered financial professional .
Carol is a previously registered financial professional and started their career in finance in 1990. Carol had worked at 4 firms and has passed the Series 63, 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
March 1, 2011 - February 10, 2014
PURSHE KAPLAN STERLING INVESTMENTS
June 2, 2005 - March 14, 2011
CAMBRIDGE INVESTMENT RESEARCH, INC.
September 26, 2003 - June 3, 2005
NEW ENGLAND SECURITIES
July 9, 1990 - September 22, 2003
THE ADVISORS GROUP, 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
PURSHE KAPLAN STERLING INVESTMENTS
CRD#: 35747 / SEC#: , 8-46844
Contact information
FINRA licenses (52 States and Territories)
Disclosures
| Regulatory Event | 11 |
| Arbitration | 2 |
Red Flags
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