Carol A. Ferrotta
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 Ann Ferrotta, who also goes by Carol Ann Ferbotta, Carol Ann Laflower, was a registered financial professional .
Carol is a previously registered financial professional and started their career in finance in 1995. Carol had worked at 7 firms and has passed the Series 63, Series 57TO, SIE, Series 7, Series 27 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 13, 2006 - January 13, 2017
REMINGTON GROUP, LLC
October 17, 2005 - May 8, 2023
HAMILTON EXECUTIONS LLC
May 11, 2004 - March 21, 2005
THE JEFFREY MATTHEWS FINANCIAL GROUP, L.L.C.
July 29, 2002 - May 3, 2004
NATIVE AMERICAN SECURITIES COMPANY, INC.
July 29, 2002 - May 3, 2004
AMERICAN INTERNATIONAL SECURITIES, INC.
May 18, 2000 - May 3, 2004
DUPONT SECURITIES GROUP, INC.
November 30, 1995 - September 2, 1999
FAB SECURITIES OF AMERICA, INC.
State Registrations and Notice Filings
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Visual representation of state registrations
Exams
Series 57TO
Date: 1/2/2023
Securities Trader ExamCurrent Firm
REMINGTON GROUP, LLC
CRD#: 138861 / SEC#: , 8-67176
Contact information
Documents
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.
