Cara A. Price-zimmerman
Professional summary
Cara Ann Price-zimmerman, who also goes by Cara A Lewis, Cara Ann Lewis, Cara Lewis, Cara A P Zimmerman, Cara Ann P Zimmerman, Cara P Zimmerman, Cara A Price, Cara Ann Price, Cara Price, Cara A Price Zimmerman, Cara Ann Price Zimmerman, Cara Price Zimmerman, Cara A Price-zimmerman, Cara Price-zimmerman, Cara A Pricezimmerman, Cara Ann Pricezimmerman, Cara Pricezimmerman, Cara A Zimmerman, Cara Ann Zimmerman, Cara Zimmerman, is a registered financial professional currently at VANGUARD MARKETING CORPORATION located in Scottsdale, Arizona.
Cara is registered as a RR (Registered Representative) and started their career in finance in 1999. Cara has worked at 4 firms and has passed the Series 63, Series 66, Series 7TO, SIE, Series 3, Series 31, Series 7, Series 10 and Series 9 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary) - BD
Click below to view Cara Ann Price-zimmerman's CRS (Customer Relationship Summary).
Certified licenses
Experience
May 5, 2025 - Present
VANGUARD MARKETING CORPORATION
Office #1: 14321 North Northsight Blvd., Scottsdale, AZ 85260June 1, 2009 - December 3, 2013
MORGAN STANLEY
June 1, 2009 - December 3, 2013
MORGAN STANLEY
May 4, 2007 - June 1, 2009
CITIGROUP GLOBAL MARKETS INC.
May 4, 2007 - June 1, 2009
CITIGROUP GLOBAL MARKETS INC.
August 18, 2003 - April 24, 2007
CHARLES SCHWAB & CO., INC.
December 21, 1999 - April 24, 2007
CHARLES SCHWAB & 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
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Exams
Series 7TO
Date: 5/2/2025
General Securities Representative ExaminationFINRA
Current Firm
VANGUARD MARKETING CORPORATION
CRD#: 7452 / SEC#: , 8-21570
Contact information
FINRA licenses (53 States and Territories)
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| THE VANGUARD GROUP, INC. | PARENT COMPANY | |
| BENCHENER, MATTHEW JOHN | CHAIRMAN, PRESIDENT, DIRECTOR, CEO-DESIGNEE | 5569805 |
| BENDL, JOHN WESLEY | DIRECTOR, SENIOR VICE PRESIDENT | 6931980 |
| BISORDI, JOHN | DIRECTOR, VICE PRESIDENT, GENERAL COUNSEL | 7526828 |
| BOATENG, AMMA ACHEAMPOMAA | DIRECTOR, SENIOR VICE PRESIDENT | 4677078 |
| BRANCATO, MATTHEW CLARK | DIRECTOR, VICE PRESIDENT | 6220380 |
| JAMES, JOHN MARK | DIRECTOR, SENIOR VICE PRESIDENT | 5594356 |
| PANTALONE, SALVATORE L JR | PRINCIPAL FINANCIAL OFFICER | 2887373 |
| PETTY, DAVID | VICE PRESIDENT | 5684895 |
| STEWART, MARC CHRISTOPHER | CHIEF COMPLIANCE OFFICER | 2688699 |
| TRETTER, MATTHEW ANTHONY | PRINCIPAL OPERATIONS OFFICER | 5956530 |
Disclosures
| Regulatory Event | 47 |
| Arbitration | 8 |
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.
