Karl C. Oquinn
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.
Karl Carroll Oquinn, who also goes by Carroll O'quinn, Karl O'quinn, Carroll Oquinn, was a registered financial professional .
Karl is a previously registered financial professional and started their career in finance in 2000. Karl had worked at 11 firms and has passed the Series 63, SIE, Series 7 and Series 24 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
November 28, 2018 - March 25, 2019
PHX FINANCIAL, INC.
April 29, 2014 - August 26, 2016
NEWPORT COAST SECURITIES, INC.
October 18, 2013 - April 8, 2014
WOODSTOCK FINANCIAL GROUP, INC.
August 7, 2012 - August 9, 2013
OLSON, CROSS & ALAMO LLC
February 16, 2011 - August 8, 2012
PHD CAPITAL
August 23, 2001 - February 17, 2011
E1 ASSET MANAGEMENT, INC.
January 10, 2001 - July 10, 2001
HAPOALIM SECURITIES USA, INC.
December 8, 2000 - January 2, 2001
ANDREW, ALEXANDER, WISE & COMPANY INCORPORATED
September 19, 2000 - October 5, 2000
DALTON KENT SECURITIES GROUP, INC.
August 4, 2000 - August 17, 2000
MILLENNIUM SECURITIES CORP.
May 5, 2000 - August 4, 2000
LADENBURG CAPITAL MANAGEMENT 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
PHX FINANCIAL, INC.
CRD#: 144403 / SEC#: , 8-67653
Contact information
FINRA licenses (52 States and Territories)
Disclosures
| Regulatory Event | 4 |
| Arbitration | 2 |
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.
