Ernest R. Carr
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.
Ernest Randall Carr, who also goes by Randy Carr, was a registered financial professional .
Ernest is a previously registered financial professional and started their career in finance in 1993. Ernest had worked at 7 firms and has passed the Series 63, Series 65, SIE, Series 7 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
January 8, 2014 - June 24, 2015
ALTERNATIVE ACCESS CAPITAL, LLC
August 21, 2013 - October 21, 2013
COMPASS SECURITIES CORPORATION
January 12, 2009 - August 29, 2011
SARATOGA RESEARCH & INVESTMENT MANAGEMENT
September 9, 2003 - January 4, 2006
SYNDICATED CAPITAL, INC.
May 3, 2002 - January 24, 2008
CARR CAPITAL MANAGEMENT, INC.
January 24, 1996 - January 31, 1997
LPL FINANCIAL LLC
December 8, 1993 - February 7, 1996
CITIGROUP GLOBAL MARKETS INC.
State Registrations and Notice Filings
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Visual representation of state registrations
Exams
Current Firm
ALTERNATIVE ACCESS CAPITAL, LLC
CRD#: 129469 / SEC#: , 8-66226
Contact information
Documents
Disclosures
| Regulatory Event | 1 |
Red Flags
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