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CS

Cara M. Smith

Some features on this profile are disabled
CRD#: 2391959
CS

Professional summary

Cara Marie Smith was barred by the FINRA from acting as a broker or investment advisor or otherwise associating with a broker-dealer firm.

Cara is a previously registered financial professional and started their career in finance in 1995. Prior to being barred, Cara had worked at 3 firms, which includes GUARANTY BROKERAGE SERVICES INC., IDS LIFE INSURANCE COMPANY, AMERIPRISE FINANCIAL SERVICES LLC.

top-8-questions

Question & Answer

Are you a "fiduciary"?
No

Aliases

None

Other business activities

Outside business activity is any business or activity undertaken by an advisor that is outside the scope of their relationship with their firm (e.g., consulting services, real estate, freelance work, teaching, etc.). Investors should stay informed about these activities to ensure no conflicts of interest.
The advisor shows no other business activity.

Blog Corner

CRS (Client Relationship Summary)

The CRS(Customer Relationship Summary) document is not provided.

Certified licenses

Advisors may have various certifications and credentials from different organizations. AdvisorCheck highlights these seven certifications - AIF®, CFP®, ChFC®, CFA, CLU®, CIMA®, CPWA®
None

Experience

Past

April 24, 1997 - April 5, 2000

GUARANTY BROKERAGE SERVICES, INC.

BD
CRD#: 23302
ST. CLOUD, MN
Past

August 9, 1995 - April 29, 1997

IDS LIFE INSURANCE COMPANY

BD
CRD#: 6321
MINNEAPOLIS, MN
Past

August 9, 1995 - April 29, 1997

AMERIPRISE FINANCIAL SERVICES, LLC

BD
CRD#: 6363
MINNEAPOLIS, MN

State Registrations and Notice Filings

Listed states reflect where the advisor is authorized to serve clients under state regulations.

Visual representation of state registrations

This advisor is not registered in any state.

Exams

State Security Law Exam
RR
Series 63
Date: 11/19/1993
Uniform Securities Agent State Law Examination
General Industry/Product Exam
RR
Series 7
Date: 8/8/1995
General Securities Representative Examination

Current Firm

GB
GUARANTY BROKERAGE SERVICES, INC.
A. RAY FREEMAN & CO. | GUARANTY BROKERAGE SERVICES, INC. | CORELINK FINANCIAL, INC. | BISYS BROKERAGE SERVICES, INC.

CRD#: 23302 / SEC#: , 8-40258

BD
Terminated by SEC on 02/20/2011
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Contact information

Main Address
Mailing Address
Phone number
Established
California since 08/16/1988
Firm type
Corporation
Fiscal year end
December
# of Employees

Documents

Direct owners and executive officers

NamePositionCRD#
PRIMEVEST FINANCIAL SERVICES, INC.SOLE SHAREHOLDER15340
BONNEAU, CATHERINE MCCORMACKPRESIDENT, CHAIRMAN, CEO AND DIRECTOR2899706
BURNS, MICHAEL DENNISVICE PRESIDENT, CHIEF COMPLIANCE OFFICER AND SECRETARY2030617
CASEY, SEAN PATRICKVICE PRESIDENT, DIRECTOR OF BUSINESS DEVELOPMENT2156290
DILLON, LADONNA JEANASSISTANT VICE PRESIDENT1076897
HOLWEGER, KIMBERLEY ANNVICE PRESIDENT AND DIRECTOR OF OPERATIONS1572778
REINHOLZ, CHRISTOPHER JONVICE PRESIDENT AND DIRECTOR OF TRADING1961258
RUMMELMCCOOL, LEANN RENEEDIRECTOR, VICE PRESIDENT AND NATIONAL SALES DIRECTOR1965155
SHELSON, MARK PAULDIRECTOR, VICE PRESIDENT, CHIEF FINANCIAL OFFICER AND TREASURER1819252
SMILEY, STANLEY ROBERTVICE PRESIDENT3004604

Disclosures

Regulatory Event1

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.

Company Information

GUARANTY BROKERAGE SERVICES, INC.

CRD#: 23302

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