Elgin B. Cary
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.
Elgin Bruce Cary was a registered financial professional .
Elgin is a previously registered financial professional and started their career in finance in 1970. Elgin had worked at 9 firms and has passed the Series 63, PC, Series 4 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
July 15, 1991 - January 6, 2005
ADVANTAGE CAPITAL CORPORATION
June 24, 1983 - July 2, 1991
MORGAN STANLEY DW INC.
May 24, 1978 - June 16, 1983
LEHMAN BROTHERS INC.
April 20, 1978 - May 28, 1978
LOEB PARTNERS
December 19, 1974 - May 28, 1978
ADVEST, INC.
April 19, 1974 - January 14, 1975
GOLDWATER VALENTE & CO
March 1, 1973 - June 23, 1975
SYSTEMATIC DISTRIBUTORS, INC.
January 17, 1972 - February 2, 1973
PROVIDENT SECURITIES, INC.
November 4, 1970 - February 12, 1972
CHARTERED NEW ENGLAND CORPORATION
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
PC
Date: 5/1/1978
AMEX Put and Call ExamSeries 40
Date: 11/2/1970
Registered Principal ExaminationCurrent Firm
ADVANTAGE CAPITAL CORPORATION
CRD#: 146 / SEC#: , 8-5072
Contact information
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| AIG ADVISOR GROUP INC. | SHAREHOLDER | |
| FIELDS, INGER WILSON | FNOP | 1690043 |
| KRUSSEL, PETER | CHIEF COMPLIANCE OFFICER | 2534106 |
| PEET, WILLIAM GERARD | MUNICIPAL PRINCIPAL | 2139630 |
| PRATER, HELEN HOWARD | COO | 1354495 |
| ROTH, RALPH LAWRENCE | DIRECTOR | 1432179 |
| ROTHSTEIN, STEVEN ELLIOT | DIRECTOR/SVP/TREASURER/CFO | 1292456 |
| SCHLAFLY, MARK JOSEPH | PRESIDENT/CEO | 1091509 |
| SHIPLEY, THOMAS ALLEN | SVP | 422266 |
| SORKIN, NOAH DAVID | DIRECTOR | |
| WELLS, THOMAS MELVIN | CLO, SVP, SECRETARY | 731190 |
Disclosures
| Regulatory Event | 10 |
| Arbitration | 4 |
| Bond | 1 |
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.
