Carolyn S. Dyson
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.
Carolyn S Dyson, who also goes by Carolyn S Dyson, Carolyn Sue Dyson, Carolyn Sue Harkins, was a registered financial professional .
Carolyn is a previously registered financial professional and started their career in finance in 1998. Carolyn had worked at 11 firms and has passed the Series 65, Series 63, SIE, Series 7 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
October 29, 2021 - November 16, 2022
VOYA FINANCIAL PARTNERS, LLC
July 23, 2021 - October 26, 2021
THRIVENT INVESTMENT MANAGEMENT INC.
May 1, 2014 - September 11, 2019
MML DISTRIBUTORS, LLC
September 17, 2008 - May 1, 2014
MML INVESTORS SERVICES, LLC
September 18, 2003 - July 25, 2008
EMPOWER FINANCIAL SERVICES, INC.
June 18, 2003 - July 21, 2003
IDS LIFE INSURANCE COMPANY
June 18, 2003 - July 21, 2003
AMERIPRISE FINANCIAL SERVICES, LLC
May 13, 2003 - July 21, 2003
AMERIPRISE FINANCIAL SERVICES, LLC
April 1, 2003 - April 2, 2003
COLUMBIA MANAGEMENT COMPANY
December 27, 1999 - April 1, 2003
STEIN ROE & FARNHAM INCORPORATED
October 20, 1999 - April 2, 2003
BOFA DISTRIBUTORS, INC.
September 17, 1998 - October 21, 1999
OPPENHEIMERFUNDS DISTRIBUTOR, INC.
State Registrations and Notice Filings
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Visual representation of state registrations
Exams
Current Firm
VOYA FINANCIAL PARTNERS, LLC
CRD#: 34815 / SEC#: 801-57637, 8-46451
Contact information
FINRA licenses (53 States and Territories)
Documents
Disclosures
| Regulatory Event | 7 |
Red Flags
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