Carla Mcdonald
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.
Carla Mcdonald was a registered financial professional .
Carla is a previously registered financial professional and started their career in finance in 2006. Carla had worked at 3 firms and has passed the Series 66, SIE 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, 2014 - January 29, 2024
PURSHE KAPLAN STERLING INVESTMENTS
December 12, 2008 - June 2, 2014
UBS FINANCIAL SERVICES INC.
December 12, 2008 - June 2, 2014
UBS FINANCIAL SERVICES INC.
September 27, 2007 - December 16, 2008
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
May 11, 2006 - December 16, 2008
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
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
PURSHE KAPLAN STERLING INVESTMENTS
CRD#: 35747 / SEC#: , 8-46844
Contact information
FINRA licenses (52 States and Territories)
Disclosures
| Regulatory Event | 11 |
| Arbitration | 2 |
Red Flags
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