Carol A. Haynes
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 Haynes, who also goes by Carol Ann Ward, Carol Ann Zumbrum, Carol A Zumbrumbattaglini, was a registered financial professional .
Carol is a previously registered financial professional and started their career in finance in 1994. Carol had worked at 11 firms and has passed the Series 65, Series 63, SIE, Series 31, Series 7, Series 6 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
March 26, 2015 - June 5, 2018
DEUTSCHE BANK SECURITIES INC.
March 26, 2015 - June 5, 2018
DEUTSCHE BANK SECURITIES INC.
February 1, 2011 - March 13, 2015
M&T SECURITIES, INC.
October 20, 2010 - March 13, 2015
M&T SECURITIES, INC.
January 2, 2009 - June 17, 2009
RAYMOND JAMES FINANCIAL SERVICES ADVISORS, INC
July 28, 2008 - January 2, 2009
RAYMOND JAMES FINANCIAL SERVICES, INC.
July 11, 2008 - June 17, 2009
RAYMOND JAMES FINANCIAL SERVICES, INC.
February 26, 2008 - June 13, 2008
BB&T INVESTMENT SERVICES, INC.
February 20, 2008 - June 13, 2008
BB&T INVESTMENT SERVICES, INC.
March 15, 2007 - June 6, 2007
M&T SECURITIES, INC.
March 15, 2007 - June 6, 2007
M&T SECURITIES, INC.
March 25, 2005 - March 14, 2007
M&T SECURITIES, INC.
March 24, 2005 - March 14, 2007
M&T SECURITIES, INC.
January 25, 2005 - March 18, 2005
MSI FINANCIAL SERVICES, INC.
January 21, 2005 - March 18, 2005
METROPOLITAN LIFE INSURANCE COMPANY
January 21, 2005 - March 18, 2005
MSI FINANCIAL SERVICES, INC.
November 3, 2003 - January 20, 2005
M&T SECURITIES, INC.
August 29, 2003 - January 20, 2005
M&T SECURITIES, INC.
April 16, 2001 - October 10, 2002
MORGAN STANLEY DW INC.
April 22, 1999 - October 10, 2002
MORGAN STANLEY DW INC.
March 5, 1998 - April 16, 1999
CHEVY CHASE FINANCIAL SERVICES
April 18, 1997 - July 25, 1997
WMA SECURITIES, INC.
April 25, 1994 - February 10, 1997
BOWLES HOLLOWELL CONNER & CO.
Primary Firm SEC Registration
DEUTSCHE BANK SECURITIES INC.
CRD#: 2525 / SEC#: 801-9638, 8-17822
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
DEUTSCHE BANK SECURITIES INC.
CRD#: 2525 / SEC#: 801-9638, 8-17822
Contact information
SEC notice filing (53 States and Territories)
FINRA licenses (53 States and Territories)
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| DB U.S. FINANCIAL MARKETS HOLDING CORPORATION | STOCKHOLDER | |
| LEONARD, CHRISTOPHER | CHIEF EXECUTIVE OFFICER & PRESIDENT | 5748580 |
| MASSARO, TIBERIO | DIRECTOR/CHIEF FINANCIAL OFFICER/FINOP | 1847137 |
| NAPPER, GLEENNIA T | CHIEF COMPLIANCE OFFICER FOR INVESTMENT ADVISER | 6161268 |
| PETRUCCELLI, DOMINICK III | CHIEF RISK OFFICER | 8018800 |
| SANTORE, DAVID | CHIEF LEGAL OFFICER | 7987270 |
| STUCCHIO, ANTHONY | CHIEF OPERATIONS OFFICER AND DIRECTOR | 2198592 |
| TIGER, SEBASTIAN BENJAMIN | CHIEF COMPLIANCE OFFICER | 2266287 |
Disclosures
| Regulatory Event | 291 |
| Civil Event | 3 |
| Arbitration | 13 |
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.
