Carol A. Aguada-hallberg
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 A Aguada-hallberg, who also goes by Carol Aguada-hallberg, Carol A Hallberg, Carol Ann Hallberg, Carol Ann Panaro, was a registered financial professional .
Carol is a previously registered financial professional and started their career in finance in 1997. Carol had worked at 3 firms and has passed the Series 65, Series 63, Series 7, Series 6, Series 27, Series 28, Series 53, Series 4 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
March 25, 2013 - July 3, 2013
TOUSSAINT CAPITAL PARTNERS, LLC
March 22, 2000 - December 13, 2012
PROTECTED INVESTORS OF AMERICA
August 5, 1997 - December 13, 2012
PROTECTED INVESTORS OF AMERICA
May 19, 1997 - August 6, 1997
SUNAMERICA SECURITIES, 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
Series 28
Date: 3/8/2005
Introducing Broker/Dealer Financial Operations Principal ExaminationCurrent Firm
TOUSSAINT CAPITAL PARTNERS, LLC
CRD#: 130290 / SEC#: , 8-66330
Contact information
Documents
Disclosures
| Regulatory Event | 5 |
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.
