Carol E. Robbins
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 Eileen Robbins, who also goes by Carol Schwarz, was a registered financial professional .
Carol is a previously registered financial professional and started their career in finance in 1999. Carol had worked at 6 firms and has passed the Series 63, SIE, Series 7 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
May 27, 2015 - November 1, 2022
MID-MARKET SECURITIES, LLC
August 27, 2013 - May 15, 2014
MEDALIST SECURITIES INC.
June 30, 2011 - May 20, 2013
PRUCO SECURITIES, LLC.
July 20, 2006 - June 30, 2011
JEFFERIES BACHE SECURITIES, LLC
May 14, 2003 - July 21, 2006
PRUDENTIAL EQUITY GROUP, LLC
February 2, 2000 - December 31, 2004
PRUDENTIAL INVESTMENT MANAGEMENT SERVICES LLC
January 20, 1999 - September 8, 1999
PRUDENTIAL EQUITY GROUP, LLC
State Registrations and Notice Filings
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Visual representation of state registrations
Exams
Current Firm
MID-MARKET SECURITIES, LLC
CRD#: 126750 / SEC#: , 8-65905
Contact information
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| WIEN, ROBERT WILLIAM | PRESIDENT & CEO/GSP/CCO/FINOP | 2289694 |
Disclosures
| Regulatory Event | 2 |
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.
