Carol A. Goulding
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 Ann Goulding, who also goes by Carol Ann Kubus, was a registered financial professional .
Carol is a previously registered financial professional and started their career in finance in 2002. Carol had worked at 2 firms and has passed the Series 66, Series 52TO, Series 99TO, Series 79TO, SIE, Series 7, Series 4, Series 53, Series 27 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
May 16, 2011 - October 7, 2011
WILMINGTON BROKERAGE SERVICES COMPANY
October 16, 2007 - December 23, 2021
M&T SECURITIES, INC.
December 2, 2002 - February 17, 2026
M&T SECURITIES, INC.
State Registrations and Notice Filings
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Visual representation of state registrations
Exams
Series 52TO
Date: 9/25/2025
Municipal Securities Representative ExaminationSeries 99TO
Date: 1/2/2023
Operations Professional ExaminationSeries 79TO
Date: 1/2/2023
Investment Banking Registered Representative ExaminationCurrent Firm
WILMINGTON BROKERAGE SERVICES COMPANY
CRD#: 14942 / SEC#: , 8-31441
Contact information
Documents
Direct owners and executive officers
Disclosures
| Regulatory Event | 16 |
Red Flags
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