Carol I. Lin
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 Iris Lin, who also goes by Carol I Lin, was a registered financial professional .
Carol is a previously registered financial professional and started their career in finance in 1994. Carol had worked at 8 firms and has passed the Series 63, SIE, Series 3 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
May 23, 2017 - December 31, 2017
GROWTH CAPITAL SERVICES, INC.
November 8, 2016 - June 13, 2017
WREN CAPITAL, LLC
April 23, 2015 - November 15, 2016
FULCRUM CAPITAL MARKETS LLC
April 7, 2014 - November 12, 2014
SEAPORT GLOBAL SECURITIES LLC
July 15, 2011 - February 27, 2014
BARCLAYS CAPITAL INC.
January 26, 2009 - February 9, 2010
BANC OF AMERICA SECURITIES LLC
October 28, 2004 - January 26, 2009
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
January 29, 1997 - January 26, 2009
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
May 2, 1994 - May 23, 1994
ROBERT THOMAS SECURITIES, INC
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
GROWTH CAPITAL SERVICES, INC.
CRD#: 124658 / SEC#: , 8-65705
Contact information
FINRA licenses (1 States and Territories)
Disclosures
| Regulatory Event | 3 |
| Financial | 1 |
Red Flags
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