Caroline L. Scott
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 Lee Scott was a registered financial professional .
Caroline is a previously registered financial professional and started their career in finance in 1992. Caroline had worked at 2 firms and has passed the Series 63 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
May 7, 2004 - May 31, 2012
SHEFFIELD INVESTMENT MANAGEMENT LLC
March 11, 1992 - January 18, 2001
ALPHA-LINE INVESTMENTS, 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
SHEFFIELD INVESTMENT MANAGEMENT LLC
CRD#: 105189 / SEC#: 801-14812
Contact information
Red Flags
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