Carol A. Kuntz
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 Ann Kuntz was a registered financial professional .
Carol is a previously registered financial professional and started their career in finance in 1991. Carol had worked at 3 firms and has passed the Series 63, SIE, Series 7, Series 6 and Series 26 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
February 13, 2004 - April 8, 2015
OLD SLIP CAPITAL MANAGEMENT, INC.
October 13, 1998 - September 17, 2003
OLD SLIP CAPITAL MANAGEMENT, INC.
September 13, 1996 - March 13, 1998
OSAIC FS, INC.
November 11, 1991 - July 19, 1996
MONY SECURITIES CORPORATION
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
OLD SLIP CAPITAL MANAGEMENT, INC.
CRD#: 7360 / SEC#: , 8-13023
Contact information
FINRA licenses (53 States and Territories)
Documents
Disclosures
| Regulatory Event | 4 |
| Bond | 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.
