Carol E. Specht
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.
Carol Elaine Specht was a registered financial professional .
Carol is a previously registered financial professional and started their career in finance in 1998. Carol had worked at 3 firms and has passed the Series 65, Series 63, SIE 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
September 15, 2017 - February 22, 2021
PLEXUS FINANCIAL SERVICES, LLC
June 2, 2017 - February 22, 2021
PLEXUS FINANCIAL SERVICES, LLC
February 1, 2003 - May 22, 2017
TRANSAMERICA INVESTORS SECURITIES, LLC
October 7, 1998 - February 1, 2003
TRANSAMERICA SECURITIES SALES CORPORATION
State Registrations and Notice Filings
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Exams
Current Firm
PLEXUS FINANCIAL SERVICES, LLC
CRD#: 153132 / SEC#: 801-81192, 8-68504
Contact information
Red Flags
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