Carl E. Lindros
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.
Carl Edward Lindros, who also goes by Carl Lindros, was a registered financial advisor .
Carl is a previously registered financial advisor and started their career in finance in 1968. Carl had worked at 6 firms and has passed the Series 63, SIE, Series 15, Series 5, Series 1, Series 27, Series 4 and Series 00 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
June 11, 2012 - May 13, 2013
MUTUAL SECURITIES, INC.
January 3, 2005 - August 15, 2019
MUTUAL SECURITIES, INC.
November 7, 2002 - October 2, 2003
SANTA BARBARA SECURITIES, INC.
January 3, 1996 - January 31, 1997
FULLER APARTMENT HOMES SECURITIES, INC.
December 31, 1980 - December 31, 2004
SANTA BARBARA SECURITIES, INC.
September 12, 1978 - January 31, 1981
UBS FINANCIAL SERVICES INC.
November 14, 1972 - January 31, 1980
BLYTH EASTMAN DILLON & CO. INCORPORATED
April 26, 1968 - November 14, 1972
BLYTH & CO., 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 15
Date: 1/7/1986
Foreign Currency Options ExaminationSeries 5
Date: 1/7/1986
Interest Rate Options ExaminationSeries 1
Date: 10/12/1961
Registered Representative ExaminationSeries 00
Date: 5/24/1973
General Securities Principal ExaminationCurrent Firm
MUTUAL SECURITIES, INC.
CRD#: 13092 / SEC#: 801-68443, 8-28580
Contact information
FINRA licenses (52 States and Territories)
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| MUTUAL GROUP, INC. | CORPORATION | |
| CLAUSSEN, DAWN MARIE | CHIEF OPERATING OFFICER | 5445747 |
| DAMIANI, NICHOLAS ARTHUR | CHIEF ADMINISTRATIVE OFFICER | 5669491 |
| JASPER, AARON T | CHIEF EXECUTIVE OFFICER | 5016734 |
| SABOL, RYAN STEPHEN | MANAGING PRINCIPAL | 4419285 |
| SHANNON, DEBRA DAWN | CHIEF COMPLIANCE OFFICER | 5021297 |
| VOSS, MITCHELL CRAIG | CHAIRMAN | 1029100 |
Disclosures
| Regulatory Event | 2 |
| Arbitration | 8 |
Red Flags
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