Erik M. Carey
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.
Erik Marcell Carey was a registered financial professional .
Erik is a previously registered financial professional and started their career in finance in 1994. Erik had worked at 4 firms and has passed the Series 65, 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
August 6, 1997 - September 3, 1998
CHEVY CHASE FINANCIAL SERVICES
January 6, 1997 - July 11, 1997
THE ADVISORS GROUP, INC.
May 12, 1995 - December 31, 1996
TITAN/VALUE EQUITIES GROUP, INC.
February 24, 1994 - March 15, 1995
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
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
CHEVY CHASE FINANCIAL SERVICES
CRD#: 14894 / SEC#: , 8-29332
Contact information
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| CHEVY CHASE FINANCIAL SERVICES CORPORATION | SHAREHOLDER | |
| DEBLANC, RONALD JOSEPH | CHIEF FINANCIAL OFFICER/ FINANCIAL OPERATIONS PRINCIPAL | 1672968 |
| MUDLAFF, THOMAS JAMES | PRESIDENT AND DIRECTOR | 2359466 |
| MURPHY, MATTHEW J | DIRECTOR | 2309026 |
| ROWAN, SHANNON BARROW | GROUP VICE PRESIDENT | 1752276 |
| TREBLE, TIMOTHY | CHIEF COMPLIANCE OFFICER, DIRECTOR OF OPERATIONS | 1699773 |
Disclosures
| Regulatory Event | 4 |
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.
