Carol S. Stern
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 Sandra Stern, who also goes by Carol Sandra Spindel, was a registered financial professional .
Carol is a previously registered financial professional and started their career in finance in 1992. Carol had worked at 7 firms and has passed the Series 7, Series 6 and Series 24 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
March 30, 2011 - April 5, 2013
SYSTEMATIZED BENEFITS ADMINISTRATORS, INC.
March 30, 2011 - April 5, 2013
VOYA RETIREMENT ADVISORS, LLC
January 14, 2011 - April 5, 2013
VOYA FINANCIAL ADVISORS, INC.
January 13, 2011 - April 5, 2013
VOYA FINANCIAL PARTNERS, LLC
January 13, 2011 - April 5, 2013
DIRECTED SERVICES LLC
October 26, 2007 - October 19, 2009
DIRECTED SERVICES LLC
January 10, 2002 - April 5, 2013
SLD AMERICA EQUITIES, INC.
August 31, 1998 - December 31, 2003
VOYA FINANCIAL ADVISORS, INC.
June 22, 1992 - March 4, 1993
BANNER FINANCIAL SERVICES GROUP
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
SYSTEMATIZED BENEFITS ADMINISTRATORS, INC.
CRD#: 19242 / SEC#: , 8-37340
Contact information
Documents
Disclosures
| Regulatory Event | 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.
