Cari S. Spicer
Professional summary
Cari Stone Spicer was barred by the FINRA from acting as a broker or investment advisor or otherwise associating with a broker-dealer firm.
Cari is a previously registered financial professional and started their career in finance in 1995. Prior to being barred, Cari had worked at 7 firms, which includes TRITON PACIFIC SECURITIES LLC, CAVU SECURITIES LLC, ACGM INC., KBR CAPITAL MARKETS LLC, TRANSAMERICA CAPITAL LLC, MERRILL LYNCH PIERCE FENNER & SMITH INCORPORATED, PACIFIC SELECT DISTRIBUTORS LLC.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
September 22, 2014 - April 6, 2016
TRITON PACIFIC SECURITIES, LLC
November 4, 2013 - July 16, 2021
CAVU SECURITIES LLC
January 31, 2012 - November 26, 2013
ACGM, INC.
April 6, 2011 - December 1, 2011
KBR CAPITAL MARKETS, LLC
July 31, 2007 - August 21, 2009
TRANSAMERICA CAPITAL, LLC
November 3, 2003 - July 20, 2007
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
November 16, 2000 - November 14, 2002
PACIFIC SELECT DISTRIBUTORS, LLC
August 23, 1995 - August 4, 2000
TRANSAMERICA CAPITAL, LLC
State Registrations and Notice Filings
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Exams
Current Firm
TRITON PACIFIC SECURITIES, LLC
CRD#: 139919 / SEC#: , 8-67262
Contact information
FINRA licenses (52 States and Territories)
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| FAGGEN, CRAIG JEFFREY | OWNER | 2734508 |
| BRAVIN, MICHAEL A | CCO/COMPLIANCE OFFICER | |
| BUEHLER, BRIAN DAVID | PRESIDENT/CEO | 3059422 |
| CARROLL, MICHAEL LOUIS | FINOP/CFO/PRINCIPAL FINANCIAL OFFICER/PRINCIPAL OPERATIONS OFFICER | 5282521 |
| TRITON PACIFIC CAPITAL PARTNERS, LLC. | MANAGING MEMBER | |
| TRITON PACIFIC GROUP, INC. | MANAGING MEMBER |
Disclosures
| Regulatory Event | 1 |
Red Flags
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