Erin M. Carper
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.
Erin Marie Carper, CFP®, who also goes by Erin Marie Hooley, was a registered financial professional .
Erin is a previously registered financial professional and started their career in finance in 1994. Erin had worked at 10 firms and has passed the Series 63, SIE, 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
Start date: 2002
Experience
August 7, 2024 - December 1, 2025
DIVERSIFIED, LLC
December 21, 2023 - November 4, 2024
DIVERSIFIED, LLC
November 3, 2016 - December 4, 2023
COMMONWEALTH FINANCIAL NETWORK
November 3, 2016 - December 4, 2023
COMMONWEALTH FINANCIAL NETWORK
July 9, 2012 - November 3, 2016
VOYA FINANCIAL ADVISORS, INC.
July 2, 2012 - November 3, 2016
VOYA FINANCIAL ADVISORS, INC.
March 14, 2008 - July 5, 2012
AMERITAS INVESTMENT COMPANY, LLC
February 29, 2008 - July 5, 2012
AMERITAS INVESTMENT COMPANY, LLC
September 2, 2005 - March 5, 2008
LPL FINANCIAL LLC
August 29, 2005 - March 5, 2008
LPL FINANCIAL LLC
April 9, 2003 - September 1, 2005
TRANSAMERICA FINANCIAL ADVISORS, LLC
April 9, 2003 - September 1, 2005
TRANSAMERICA FINANCIAL ADVISORS, LLC
March 9, 1999 - October 1, 2002
PRO-INTEGRITY SECURITIES, INC.
March 3, 1997 - March 10, 1999
EQUITY SERVICES, INC.
May 20, 1994 - February 10, 1997
SECURITIES AMERICA, INC.
Primary Firm SEC Registration
DIVERSIFIED, LLC
CRD#: 331709 / SEC#: 801-130728
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
DIVERSIFIED, LLC
CRD#: 331709 / SEC#: 801-130728
Contact information
SEC notice filing (27 States and Territories)
Regulatory assets under management
| Total Number of Accounts | 5,494 |
| AUM (Assets Under Management) | $ 2,080,500,590 |
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.
