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Carolyn Jean Pope

CFP®
CRD# 2650153·Registered 2001 - 2017
Previously Registered: Being a previously registered professional could mean that Carolyn 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.

Professional Summary

Carolyn Jean Pope, CFP®, who also goes by Carolyn Barnes, Carolyn Schiller, was a registered financial advisor. Carolyn was a previously registered financial professional and started their career in finance 2001 - 2017. Carolyn had worked at 4 firms and has passed the Series 65, Series 66, Series 63, SIE and Series 7 exams.

At a Glance

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Fiduciary Standard

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Fee Structure

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Account Minimum

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Active Clients

Fiduciary Standard

Fee Structure

Account Minimum

Active Clients

Other Aliases

Carolyn Barnes, Carolyn Schiller

Blog Corner

More Resources

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Videos & Posts

This advisor has not added any videos or posts yet.

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Contact Information

No current employment

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Disclosures are events reported to regulators, such as customer disputes, regulatory actions, employment separations, or financial events. Some are resolved, denied, or contested — a disclosure is not a verdict. We recommend asking an advisor directly about any disclosure on their record.

Disclosures on record.

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.

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Credentials

CFP®
Certified Financial Planner

Years of Experience

31 years in the financial services industry

Current & Past Employments

Past

DCF, LLCPast·CRD# 149102
BD
Houston, TX
December 14, 2016 - April 28, 2017
NEUBERGER BERMAN BD LLCPast·CRD# 2908
RIA
Houston, TX
February 1, 2006 - August 9, 2016
NEUBERGER BERMAN BD LLCPast·CRD# 2908
BD
Houston, TX
December 20, 2005 - August 9, 2016
UST SECURITIES CORP.Past·CRD# 13906
BD
Stamford, CT
August 25, 2003 - August 3, 2005
WELLS FARGO INVESTMENTS, LLCPast·CRD# 10582
RIA
Houston, TX
February 1, 2002 - July 18, 2003
WELLS FARGO INVESTMENTS, LLCPast·CRD# 10582
BD
San Francisco, CA
December 5, 2001 - July 18, 2003

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Current Firm

DL
DCF, LLC

DCF | DECOSIMO CORPORATE FINANCE, LLC | DECOSIMO CORPORATE FINANCE | DCF, LLC

CRD#: 149102 / SEC#: 8-68111
BD
Broker-Dealer Firm Regulated by FINRA (New Orleans district office)

Contact Information

Main Address

629 Market Street Suite 120, Chattanooga, TN 37402

Mailing Address

629 Market Street Suite 120, Chattanooga, TN 37402

Phone Number

(423) 991-3680

Established

Tennessee since 11/20/2008

Firm Type

Limited Liability Company

Fiscal Year End

December

Firm Size

Small

FINRA licenses (6 States and Territories)

Registered to provide investment advisory services in 0 US states and territories.

Documents

Customer Relationship Summary (CRS / FINRA)

Direct owners and executive officers

NamePositionCRD#
DECOSIMO, JOHN THOMASMANAGING MEMBER, CEO,COO,CCO,CFO5327873
ROUGH, ROBERT MACKINTOSHPRINCIPAL2466229
SILVERMAN, STEVEN DEREKPRINCIPAL5784702

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Other business activities

Information obtained from regulatory filings. Advisors can request corrections through their firm or regulator.

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.

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State Registrations and Notice Filings

Listed states reflect where the advisor is authorized to serve clients under state regulations.
This advisor is not registered in any state.

Exams

Financial professionals may take different exams throughout their careers based on the types of services they provide and roles they perform.

Series 65 — Uniform Investment Adviser Law Examination

Passed Feb 2006About the Series 65 exam

Series 66 — Uniform Combined State Law Examination

Passed Nov 2001About the Series 66 exam

Series 63 — Uniform Securities Agent State Law Examination

Passed Aug 1995About the Series 63 exam

SIE — Securities Industry Essentials Examination

Passed Apr 2017About the SIE exam

Series 7 — General Securities Representative Examination

Passed Dec 2001About the Series 7 exam

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CRS (Client Relationship Summary)

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

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