Carolyn J. Pope
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.
Carolyn Jean Pope, CFP®, who also goes by Carolyn Barnes, Carolyn Schiller, was a registered financial professional .
Carolyn is a previously registered financial professional and started their career in finance in 2001. Carolyn had worked at 4 firms and has passed the Series 65, Series 66, Series 63, 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
December 14, 2016 - April 28, 2017
DCF, LLC
February 1, 2006 - August 9, 2016
NEUBERGER BERMAN BD LLC
December 20, 2005 - August 9, 2016
NEUBERGER BERMAN BD LLC
August 25, 2003 - August 3, 2005
UST SECURITIES CORP.
February 1, 2002 - July 18, 2003
WELLS FARGO INVESTMENTS, LLC
December 5, 2001 - July 18, 2003
WELLS FARGO INVESTMENTS, LLC
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
DCF, LLC
CRD#: 149102 / SEC#: , 8-68111
Contact information
FINRA licenses (8 States and Territories)
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.
