Carolyn S. Callahan
Professional summary
Carolyn Sue Callahan was barred by the FINRA from acting as a broker or investment advisor or otherwise associating with a broker-dealer firm.
Carolyn is a previously registered financial advisor and started their career in finance in 2000. Prior to being barred, Carolyn had worked at 7 firms, which includes BRECEK & YOUNG ADVISORS INC., MERITUS CAPITAL MANAGEMENT INC., BROOKSTONE SECURITIES INC., AMERIPRISE FINANCIAL SERVICES LLC, IDS LIFE INSURANCE COMPANY, METROPOLITAN LIFE INSURANCE COMPANY, MSI FINANCIAL SERVICES INC..
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
April 8, 2004 - February 22, 2005
BRECEK & YOUNG ADVISORS, INC.
April 8, 2004 - February 22, 2005
BRECEK & YOUNG ADVISORS, INC.
February 6, 2003 - June 2, 2004
MERITUS CAPITAL MANAGEMENT, INC.
December 16, 2002 - April 13, 2004
BROOKSTONE SECURITIES, INC.
November 1, 2002 - December 12, 2002
AMERIPRISE FINANCIAL SERVICES, LLC
July 18, 2001 - December 12, 2002
IDS LIFE INSURANCE COMPANY
July 18, 2001 - December 12, 2002
AMERIPRISE FINANCIAL SERVICES, LLC
April 6, 2001 - June 18, 2001
METROPOLITAN LIFE INSURANCE COMPANY
April 6, 2001 - June 18, 2001
MSI FINANCIAL SERVICES, INC.
June 2, 2000 - March 12, 2001
IDS LIFE INSURANCE COMPANY
June 2, 2000 - March 12, 2001
AMERIPRISE FINANCIAL SERVICES, LLC
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
BRECEK & YOUNG ADVISORS, INC.
CRD#: 40395 / SEC#: 801-51940, 8-49022
Contact information
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| SECURITIES AMERICA FINANCIAL CORPORATION | HOLDING COMPANY | |
| DEWALD, TERRANCE SHAWN | SENIOR VP, GENERAL COUNSEL, SECRETARY | 3173980 |
| HEENEY, JAMES MICHEAL | SENIOR VP, SALES SUPERVISION AND OPERATIONS | 3019122 |
| MCWHORTER, STEVEN FORD | CEO, DIRECTOR | 2130681 |
| MILLER, KEVIN JOSEPH | CHIEF COMPLIANCE OFFICER, VP, DEP GEN COUNSEL, PRIVACY, AML, IDENTITY THEFT PROTECTION POLICY, & RISK OFFICER | 4133001 |
| NAGENGAST, JAMES DELWYN | DIRECTOR | 2571451 |
| PARSONS, GAYLE ELIZABETH | VP, TREASURER, FINOP | 2824340 |
| RANNEY, CHRISTOPHER JOHN | PRESIDENT, DIRECTOR | 1708781 |
| WERTHEIM, PAMELA JANINE | DIRECTOR | 1311477 |
Disclosures
| Regulatory Event | 5 |
Red Flags
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