Carol L. Mackoff
Professional summary
Carol Lewis Mackoff, who also goes by Carol Ann Lewis, is a registered financial professional currently at MULTI-BANK SECURITIES, INC. located in Chicago, Illinois.
Carol is registered as a RR (Registered Representative) and started their career in finance in 1990. Carol has worked at 7 firms and has passed the Series 63, SIE, Series 50, Series 7 and Series 24 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary) - BD
Click below to view Carol Lewis Mackoff's CRS (Customer Relationship Summary).
Certified licenses
Experience
August 4, 2016 - Present
MULTI-BANK SECURITIES, INC.
Office #1: 10 South Riverside Plaza 8th Floor - Suite 875, Chicago, IL 60606Office #2: 325 N. St. Paul St Suite 3101, Dallas, TX 75201September 17, 2015 - July 2, 2016
BONWICK CAPITAL PARTNERS, LLC
June 14, 2004 - August 8, 2005
DOLEY SECURITIES, LLC.
September 22, 2000 - October 14, 2015
RICE FINANCIAL PRODUCTS COMPANY
March 31, 1994 - June 2, 2004
PRYOR, COUNTS & CO., INC.
December 9, 1992 - August 25, 1993
NATWEST INTERNATIONAL SECURITIES INC.
November 1, 1990 - October 8, 1991
CHASE FUTURES & OPTIONS, 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
(8/5/2016)
(6/27/2023)
(8/9/2016)
(8/10/2016)
(8/4/2016)
(5/19/2020)
(8/6/2016)
(3/13/2020)
(9/1/2023)
(8/28/2019)
(8/12/2016)
(8/8/2016)
(8/9/2016)
(5/21/2019)
(8/5/2016)
(8/11/2016)
(8/5/2016)
Exams
FINRA
Current Firm
MULTI-BANK SECURITIES, INC.
CRD#: 22098 / SEC#: , 8-39547
Contact information
FINRA licenses (53 States and Territories)
Direct owners and executive officers
Disclosures
| Regulatory Event | 4 |
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.
