Caroline A. Jennings
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.
Caroline Ann Jennings, who also goes by Caroline Anne Jennings, Caroline Ann Pebbles, Caroline A Peebles, Caroline Anne Peebles, was a registered financial professional .
Caroline is a previously registered financial professional and started their career in finance in 1993. Caroline had worked at 7 firms and has passed the Series 63, SIE and Series 7 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
April 23, 2014 - February 2, 2018
LLOYDS SECURITIES
January 17, 2012 - April 29, 2014
RAYMOND JAMES & ASSOCIATES, INC.
September 16, 2010 - January 9, 2012
COHEN & COMPANY CAPITAL MARKETS, LLC
January 9, 2009 - October 1, 2010
COHEN & COMPANY SECURITIES, LLC
May 11, 2004 - January 28, 2009
BARCLAYS CAPITAL INC.
November 29, 2000 - May 17, 2004
BANC ONE CAPITAL MARKETS, INC.
November 18, 1996 - March 21, 2000
JPMSI
April 19, 1993 - October 24, 1995
JPMSI
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
LLOYDS SECURITIES
CRD#: 154515 / SEC#: , 8-68647
Contact information
FINRA licenses (53 States and Territories)
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| LLOYDS AMERICA SECURITIES CORPORATION | SHAREHOLDER-COMMON STOCK | |
| CRAWFORD, SUSAN ADELAIDE | HEAD OF RISK | 7415877 |
| FALLAN, WESLEY ROBERT | PRESIDENT OF LLOYDS SECURITIES | 6313069 |
| HOUGHTON, ROSS ANDREW | CHIEF FINANCIAL OFFICER, NA | 6493863 |
| MANSFIELD, WILLIAM RENICK JR | CEO AND COUNTRY HEAD, LLOYDS BANK CORPORATE MARKETS, NORTH AMERICA | 1398078 |
| NADEL, MITCHELL NEIL | HEAD OF FINANCIAL MARKETS | 6157639 |
| ROWLANDS, MARK KEITH | PRINCIPAL FINANCIAL OFFICER & TREASURER | 6601550 |
| SMITH, KELVINA MONIQUE | CHIEF LEGAL OFFICER, LSI | 7419693 |
| STEINBERG, MICHAEL NMN | CHIEF COMPLIANCE OFFICER | 1062776 |
| TRYPHONIDES, NICHOLAS | PRINCIPAL OPERATIONS OFFICER (POO), SECRETARY | 6446246 |
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.
