Carol L. Grass
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 Lynne Grass, who also goes by C Lynne Grass, C Grass, Carol Lynne Wyatt, was a registered financial professional .
Carol is a previously registered financial professional and started their career in finance in 1991. Carol had worked at 9 firms and has passed the Series 65, 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
June 5, 2015 - June 21, 2016
FIRST BROKERAGE AMERICA, L.L.C.
August 2, 2013 - May 22, 2015
ASSOCIATED INVESTMENT SERVICES, INC.
August 1, 2012 - July 16, 2013
BMO HARRIS FINANCIAL ADVISORS, INC.
August 6, 2004 - August 1, 2012
M&I FINANCIAL ADVISORS, INC
January 1, 1998 - July 22, 2004
BANC OF AMERICA INVESTMENT SERVICES, INC.
January 1, 1998 - July 22, 2004
BANC OF AMERICA INVESTMENT SERVICES, INC.
August 13, 1997 - January 1, 1998
NATIONSSECURITIES
January 11, 1993 - August 13, 1997
BOATMEN'S INVESTMENT SERVICES, INC.
August 5, 1992 - January 1, 1993
MARK TWAIN BROKERAGE SERVICES, INC.
January 30, 1991 - June 19, 1992
NATCITY INSURANCE 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
FIRST BROKERAGE AMERICA, L.L.C.
CRD#: 43431 / SEC#: , 8-50271
Contact information
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| ELLEN C. DIERBERG FAMILY TRUST | OWNER | |
| JAMES F. DIERBERG II FAMILY TRUST | OWNER | |
| MICHAEL J. DIERBERG FAMILY TRUST | OWNER | |
| DIERBERG, MARY WELP | TRUSTEE OF THREE SEPARATE FAMILY TRUSTS FOR JAMES F., ELLEN C. AND MICHAEL J. DIERBERG | 4053054 |
| FIRST BANKS, INC | TRUSTEE OF THREE SEPARATE FAMILY TRUSTS FOR JAMES F., ELLEN C. AND MICHAEL J. DIERBERG | |
| FURMAN, EDWARD DAVID | MSRB PRINCIPAL | 1426353 |
| PRESSON, DAVID ALAN | CHIEF COMPLIANCE OFFICER - INVESTMENT ADVISER | 1237920 |
| ROBERTS, SARAH ANN | OPERATIONS MANAGER | 2472587 |
| TODD, EUGENE REEVES | CHIEF COMPLIANCE OFFICER - BROKER/DEALER | 2639876 |
Disclosures
| Regulatory Event | 1 |
| Arbitration | 1 |
Red Flags
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Check for any disclosures as part of your thorough research when choosing an advisor.
