Anderson B. Carothers
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.
Anderson Brown Carothers, who also goes by Andy Carothers, was a registered financial professional .
Anderson is a previously registered financial professional and started their career in finance in 1971. Anderson had worked at 11 firms and has passed the Series 65, Series 63, SIE, Series 7, Series 1 and Series 40 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
May 11, 2012 - October 7, 2016
BULLISH BOB BAGLEY SECURITIES, INC.
January 6, 2012 - May 15, 2012
SAXONY CAPITAL MANAGEMENT, LLC
January 6, 2012 - May 15, 2012
SAXONY SECURITIES, INC.
October 2, 2009 - January 26, 2012
ABSHIER WEBB DONNELLY & BAKER, INC.
October 2, 2009 - January 26, 2012
ABSHIER WEBB DONNELLY & BAKER, INC.
July 1, 2003 - September 21, 2009
WELLS FARGO CLEARING SERVICES, LLC
July 1, 2003 - September 21, 2009
WELLS FARGO CLEARING SERVICES, LLC
April 10, 2002 - July 1, 2003
PRUDENTIAL EQUITY GROUP, LLC
October 11, 2000 - July 1, 2003
PRUDENTIAL EQUITY GROUP, LLC
April 9, 1997 - October 24, 2000
J.P. MORGAN SECURITIES LLC
January 4, 1991 - April 25, 1997
ALEX. BROWN & SONS INCORPORATED
February 12, 1975 - March 28, 1979
UNDERWOOD, NEUHAUS & CO., INCORPORATED
November 1, 1973 - April 1, 1979
1717 CAPITAL MANAGEMENT COMPANY
October 26, 1971 - November 1, 1973
NEW YORK SECURITIES 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
Exams
Series 1
Date: 10/21/1971
Registered Representative ExaminationSeries 40
Date: 10/29/1973
Registered Principal ExaminationCurrent Firm
BULLISH BOB BAGLEY SECURITIES, INC.
CRD#: 24761 / SEC#: , 8-41372
Contact information
FINRA licenses (1 States and Territories)
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| BAGLEY, ROBERT MICHAEL JR | PRESIDENT/CHIEF COMPLIANCE OFFICER | 10044 |
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.
