Victoria E. Carrion
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.
Victoria E Carrion was a registered financial professional .
Victoria is a previously registered financial professional and started their career in finance in 2003. Victoria had worked at 4 firms and has passed the Series 66 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
August 23, 2006 - March 11, 2013
BOREAL CAPITAL MANAGEMENT LLC
August 22, 2006 - May 15, 2007
PRS INTERNATIONAL BROKERAGE, INC.
June 7, 2005 - March 16, 2006
CREDIT SUISSE PRIVATE ADVISORS AG
April 26, 2005 - March 16, 2006
CREDIT SUISSE PRIVATE ADVISORS AG
May 16, 2003 - March 15, 2005
DEUTSCHE BANK SECURITIES INC.
Primary Firm SEC Registration
BOREAL CAPITAL MANAGEMENT LLC
CRD#: 112221 / SEC#: 801-57604
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
BOREAL CAPITAL MANAGEMENT LLC
CRD#: 112221 / SEC#: 801-57604
Contact information
SEC notice filing (12 States and Territories)
Regulatory assets under management
| Total Number of Accounts | 719 |
| AUM (Assets Under Management) | $ 1,839,898,461 |
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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