Carrie W. Grinnell
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.
Carrie White Grinnell, who also goes by Carrie Lynn Grinell, Carrie White Grinell, Carrie Lynn White, was a registered financial professional .
Carrie is a previously registered financial professional and started their career in finance in 2000. Carrie had worked at 3 firms and has passed the Series 65 and Series 7 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
March 12, 2013 - March 15, 2022
SOUTHERN WEALTH MANAGEMENT LLP
September 17, 2001 - November 2, 2006
CAPITAL ONE INVESTMENTS, LLC
August 10, 2000 - February 8, 2001
BANC ONE SECURITIES CORPORATION
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
SOUTHERN WEALTH MANAGEMENT LLP
CRD#: 134714 / SEC#: 801-64071
Contact information
Regulatory assets under management
| Total Number of Accounts | 2,061 |
| AUM (Assets Under Management) | $ 2,336,901,919 |
Accountant surprise examination report
| Filing Date | Form ADV-E Cover | Form ADV-E Report |
|---|---|---|
| 10/16/2023 | ||
| 07/28/2022 |
Red Flags
Disclosures can be potential red flags, including customer disputes, regulatory fines, employer terminations, bankruptcies, judgments, liens, or certain criminal activities.
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