Carol F. Peirick
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 F Peirick 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, Series 24 and Series 27 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
May 14, 2003 - July 19, 2012
WEA INVESTMENT SERVICES, INC.
June 9, 1997 - May 27, 2003
WEA TAX SHELTERED ANNUITY TRUST
September 16, 1996 - June 6, 1997
LINCOLN FINANCIAL DISTRIBUTORS, 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
WEA INVESTMENT SERVICES, INC.
CRD#: 126907 / SEC#: , 8-65926
Contact information
FINRA licenses (14 States and Territories)
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| WEA MEMBER BENEFIT TRUST | SHAREHOLDER | |
| BENDER, BOYD GRISWOLD | CCO | 3082505 |
| BENDER, BOYD GRISWOLD | PRESIDENT | 3082505 |
| BROWN, SUZANNE LEE | TRUSTEE/DIRECTOR | |
| DIGMAN, CAROLYN KAY | FINOP | 7125836 |
| LOR, MAIWA | TRUSTEE/DIRECTOR | 7786308 |
| MAHONEY, KATHLEEN TRUDEAU | TRUSTEE/DIRECTOR | 8120398 |
| MARTINEZ, JESSE ANDREW | TRUSTEE/DIRECTOR | 7977660 |
| OLSEN-WIRTZ, PEGGY LYNN | TRUSTEE/DIRECTOR | 7641439 |
| UGORETZ, NATHAN LAKE | TRUSTEE/DIRECTOR | 7641425 |
| WILCOX, THOMAS JON JR | TRUSTEE/DIRECTOR | 7977638 |
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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