Carrie A. Piltz
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.
Carrie Ann Piltz was a registered financial professional .
Carrie is a previously registered financial professional and started their career in finance in 1996. Carrie had worked at 5 firms and has passed the Series 65, Series 63, SIE and Series 6 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
April 10, 2024 - February 10, 2025
MISSIONSQUARE INVESTMENT SERVICES
June 10, 2003 - February 24, 2011
LINCOLN FINANCIAL DISTRIBUTORS, INC.
June 9, 2003 - March 28, 2024
LINCOLN FINANCIAL DISTRIBUTORS, INC.
February 10, 2003 - May 12, 2003
GLOBAL ATLANTIC DISTRIBUTORS, LLC
May 16, 2000 - February 21, 2002
RTE SECURITIES, INC.
November 20, 1996 - April 6, 2000
NYLIFE SECURITIES 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
MISSIONSQUARE INVESTMENT SERVICES
CRD#: 23189 / SEC#: , 8-40268
Contact information
FINRA licenses (51 States and Territories)
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| INTERNATIONAL CITY MANAGEMENT ASSOCIATION RETIREMENT CORPORATION D/B/A MISSIONSQUARE RETIREMENT | MEMBER/OWNER | |
| GANEY, PETER DAVIDSON | MANAGER | 2282691 |
| HOGENDORN, SHANNON DANIEL | CHIEF OPERATIONS OFFICER | 3221945 |
| HOGENDORN, SHANNON DANIEL | PRINCIPAL MANAGER | 3221945 |
| RICHARDS, CLIFF LAWRENCE | CHIEF COMPLIANCE OFFICER | 2974428 |
| WHITTY, RICHARD PATRICK | TREASURER/FINOP | 1988149 |
Disclosures
| Regulatory Event | 3 |
| Arbitration | 2 |
Red Flags
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