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SM

Sharlene F. Mesite

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CRD#: 2576396
SM

Professional summary

Sharlene Frances Mesite was barred by the SEC from acting as a broker or investment advisor or otherwise associating with a broker-dealer firm.

Sharlene is a previously registered financial professional and started their career in finance in 1998. Prior to being barred, Sharlene had worked at 3 firms, which includes CAROLINA CAPITAL MARKETS INC., WOLFE & HURST BOND BROKERS INC., A. G. EDWARDS & SONS INC..

top-8-questions

Question & Answer

Are you a "fiduciary"?
No

Aliases

Sharlene Frances Ziaja

Other business activities

Outside business activity is any business or activity undertaken by an advisor that is outside the scope of their relationship with their firm (e.g., consulting services, real estate, freelance work, teaching, etc.). Investors should stay informed about these activities to ensure no conflicts of interest.
The advisor shows no other business activity.

Blog Corner

CRS (Client Relationship Summary)

The CRS(Customer Relationship Summary) document is not provided.

Certified licenses

Advisors may have various certifications and credentials from different organizations. AdvisorCheck highlights these seven certifications - AIF®, CFP®, ChFC®, CFA, CLU®, CIMA®, CPWA®
None

Experience

Past

June 15, 2007 - July 10, 2008

CAROLINA CAPITAL MARKETS, INC.

BD
CRD#: 38156
JUPITER, FL
Past

April 25, 2002 - June 5, 2007

WOLFE & HURST BOND BROKERS INC.

BD
CRD#: 8288
JUPITER, FL
Past

April 28, 1998 - May 1, 2002

A. G. EDWARDS & SONS, INC.

BD
CRD#: 4
ST. LOUIS, MO

State Registrations and Notice Filings

Listed states reflect where the advisor is authorized to serve clients under state regulations.

Visual representation of state registrations

This advisor is not registered in any state.

Exams

State Security Law Exam
RR
Series 63
Date: 10/27/2007
Uniform Securities Agent State Law Examination
General Industry/Product Exam
RR
Series 7
Date: 7/12/1999
General Securities Representative Examination
General Industry/Product Exam
RR
Series 52
Date: 3/16/1998
Municipal Securities Representative Examination

Current Firm

CC
CAROLINA CAPITAL MARKETS, INC.
CAROLINA CAPITAL MARKETS, INC.

CRD#: 38156 / SEC#: , 8-48095

BD
Terminated by SEC on 11/28/2014
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Contact information

Main Address
Mailing Address
Phone number
Established
North Carolina since 02/01/1994
Firm type
Corporation
Fiscal year end
September
# of Employees

Documents

Direct owners and executive officers

NamePositionCRD#
SHUGRUE, THOMAS GEORGEDIR/PRES/PRINCIPAL/CEO/COO800889
CHAIRES, STEPHEN WAYNEFINOP/CFO/MUNI PRINCIPAL4560892
FELT, KATHRYN DIGANCCO5074399

Disclosures

Regulatory Event2
Arbitration1

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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Company Information

CAROLINA CAPITAL MARKETS, INC.

CRD#: 38156

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