Columba J. Carr
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.
Columba James Carr, who also goes by Colum Carr, was a registered financial professional .
Columba is a previously registered financial professional and started their career in finance in 1998. Columba had worked at 4 firms and has passed the Series 63, SIE 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
May 4, 2011 - September 16, 2019
SKYWORKS SECURITIES, LLC
June 22, 2009 - April 4, 2011
SSC NY CORP.
January 9, 2008 - July 10, 2008
ALLCAPITAL SECURITIES, LLC
December 14, 1998 - March 10, 2006
AIG FINANCIAL SECURITIES CORP.
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
SKYWORKS SECURITIES, LLC
CRD#: 128985 / SEC#: , 8-66190
Contact information
FINRA licenses (7 States and Territories)
Documents
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.
