Carolyn E. Brenneman
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.
Carolyn Elizabeth Brenneman, who also goes by Carolyn Elizabeth Miller, was a registered financial professional .
Carolyn is a previously registered financial professional and started their career in finance in 1994. Carolyn had worked at 5 firms and has passed the Series 66, Series 63, SIE, Series 7 and Series 6 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, 2008 - January 1, 2008
A. G. EDWARDS & SONS, INC.
January 1, 2008 - March 11, 2019
WELLS FARGO CLEARING SERVICES, LLC
January 1, 2008 - January 3, 2008
A. G. EDWARDS & SONS, INC.
January 1, 2008 - March 11, 2019
WELLS FARGO CLEARING SERVICES, LLC
August 31, 2005 - January 13, 2006
WELLS FARGO CLEARING SERVICES, LLC
September 23, 2004 - January 13, 2006
WELLS FARGO CLEARING SERVICES, LLC
April 11, 1997 - December 31, 1998
WMA SECURITIES, INC.
January 4, 1994 - May 1, 1995
THE EQUITABLE LIFE ASSURANCE SOCIETY OF THE UNITED STATES
January 4, 1994 - May 1, 1995
EQUITABLE ADVISORS, LLC
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
A. G. EDWARDS & SONS, INC.
CRD#: 4 / SEC#: , 8-13580
Contact information
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| A.G. EDWARDS, INC. | HOLDING COMPANY | |
| ATKIN, MARY MARGARET | DIRECTOR, EXECUTIVE VICE PRESIDENT | 863962 |
| BAGBY, ROBERT LEE | CHAIRMAN OF BOARD OF DIRECTORS | 9985 |
| BIEBEL, PETER ALAN | SENIOR REGISTERED OPTIONS PRINCIPAL | 722143 |
| GRUMKE, CLAY LEONARD | CHIEF LEGAL COUNSEL, VICE PRESIDENT | 2199350 |
| HOPKINS, DAVID RICHARD | EXECUTIVE VICE PRESIDENT, CHIEF FINANCIAL OFFICER, TREASURER | 4802877 |
| KELLY, DOUGLAS LAIRD | CORPORATE SECRETARY, DIRECTOR, EXECUTIVE VP; CHIEF OPERATING OF | 2428802 |
| LUDEMAN, DANIEL JAMES | PRESIDENT AND CHIEF EXECUTIVE OFFICER | 874126 |
| MAHAT, MARC ALAN | COMPLIANCE REGISTERED OPTIONS PRINCIPAL | 1967091 |
| UNDERWOOD, BRIAN CLINTON | DIRECTOR, CHIEF COMPLIANCE OFFICER, SENIOR VICE PRESIDENT | 1229168 |
Disclosures
| Regulatory Event | 77 |
| Arbitration | 265 |
| Bond | 3 |
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.
