Carol A. Werther
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 Werther was a registered financial professional .
Carol is a previously registered financial professional and started their career in finance in 1997. Carol had worked at 7 firms and has passed the Series 63, SIE, Series 86, Series 87 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
April 13, 2018 - January 15, 2019
DAWSON JAMES SECURITIES, INC.
January 15, 2016 - September 13, 2017
H.C.WAINWRIGHT & CO., LLC
August 28, 2014 - April 9, 2015
CRT CAPITAL GROUP LLC
May 3, 2007 - July 30, 2014
SUMMER STREET RESEARCH PARTNERS
June 7, 2005 - November 25, 2005
THINKEQUITY LLC
March 21, 1998 - June 5, 2002
CANACCORD GENUITY LLC
May 23, 1997 - November 25, 1997
INVESCO 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
DAWSON JAMES SECURITIES, INC.
CRD#: 130645 / SEC#: , 8-66367
Contact information
FINRA licenses (53 States and Territories)
Disclosures
| Regulatory Event | 12 |
| Civil Event | 1 |
| Arbitration | 3 |
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.
