Carrie A. Vanherweg
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.
Carrie Ann Vanherweg was a registered financial professional .
Carrie is a previously registered financial professional and started their career in finance in 1999. Carrie had worked at 3 firms and has passed the Series 63, SIE, Series 7, Series 4, Series 9 and Series 10 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
April 4, 2019 - October 28, 2020
TD AMERITRADE, INC.
November 3, 2017 - January 17, 2018
CETERA WEALTH SERVICES, LLC
August 16, 2006 - January 17, 2018
GIRARD SECURITIES, INC.
September 1, 1999 - August 11, 2006
TD AMERITRADE, 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
TD AMERITRADE, INC.
CRD#: 7870 / SEC#: 801-60469, 8-23395
Contact information
Disclosures
| Regulatory Event | 79 |
| Civil Event | 1 |
| Arbitration | 145 |
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.
