Carolyn J. Anderson
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 Jean Anderson, who also goes by Carolyn Jean Wempe, was a registered financial professional .
Carolyn is a previously registered financial professional and started their career in finance in 1998. Carolyn had worked at 5 firms and has passed the Series 66, Series 63, Series 7TO, 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
November 20, 2023 - October 3, 2025
COMMERCE STREET CAPITAL, LLC
September 16, 2014 - February 19, 2015
IBERIA ASSET MANAGEMENT, INC.
August 25, 2009 - April 21, 2015
FIRST PRIVATE WEALTH MANAGEMENT, INC.
June 6, 2006 - April 16, 2007
UST SECURITIES CORP.
June 16, 2003 - May 3, 2005
BANC OF AMERICA INVESTMENT SERVICES, INC.
October 21, 1998 - May 3, 2005
BANC OF AMERICA INVESTMENT SERVICES, 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 7TO
Date: 11/20/2023
General Securities Representative ExaminationCurrent Firm
COMMERCE STREET CAPITAL, LLC
CRD#: 143797 / SEC#: , 8-67606
Contact information
FINRA licenses (52 States and Territories)
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.
