Carola J. Fuller
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.
Carola Jean Fuller was a registered financial advisor .
Carola is a previously registered financial advisor and started their career in finance in 1998. Carola had worked at 2 firms and has passed the Series 66 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
August 28, 2003 - July 14, 2009
COUNTRY CLUB FINANCIAL SERVICES, LLC
September 28, 1998 - July 14, 2009
COUNTRY CLUB FINANCIAL SERVICES, LLC
July 22, 1998 - August 31, 1998
OSAIC FA, 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
Current Firm
COUNTRY CLUB FINANCIAL SERVICES, LLC
CRD#: 29807 / SEC#: 801-61022, 8-44574
Contact information
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| COUNTRY CLUB BANK | PARENT OF APPLICANT | |
| DERSHEMVEGA, SANDRA LYNNE | PRESIDENT, CCO, FINANCIAL OPERATIONS PRINCIPAL, DIRECTOR | 2702481 |
Disclosures
| Regulatory Event | 1 |
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.
