Carol L. Larkin
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 Lee Larkin was a registered financial professional .
Carol is a previously registered financial professional and started their career in finance in 1996. Carol had worked at 3 firms and has passed the Series 63, Series 7 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
November 15, 2011 - May 15, 2012
SHAREHOLDERS SERVICE GROUP, LLC
December 17, 2008 - June 23, 2010
SHAREHOLDERS SERVICE GROUP, LLC
June 1, 1998 - December 31, 2000
TD AMERITRADE, INC.
January 1, 1996 - June 1, 1998
JACK WHITE & COMPANY, 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
SHAREHOLDERS SERVICE GROUP, LLC
CRD#: 125226 / SEC#: , 8-65778
Contact information
FINRA licenses (53 States and Territories)
Disclosures
| Regulatory Event | 1 |
| Arbitration | 1 |
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.
