Carolyn M. Maxson
Professional summary
Carolyn M Maxson, who also goes by Carolyn Mary Heary, Carolyn Mary Maxson, Carolyn Maxson, is a registered financial professional currently at FEF DISTRIBUTORS, LLC located in New York, New York.
Carolyn is registered as a RR (Registered Representative) and started their career in finance in 2002. Carolyn has worked at 3 firms and has passed the Series 6TO, SIE and Series 6 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary) - BD
Click below to view Carolyn M Maxson's CRS (Customer Relationship Summary).
Certified licenses
Experience
August 29, 2024 - Present
FEF DISTRIBUTORS, LLC
Office #1: 1345 Avenue Of The Americas, New York, NY 10105Office #2: 1345 Avenue Of The Americas, New York, NY 10105-4800June 16, 2010 - September 14, 2021
MORGAN STANLEY DISTRIBUTION, INC.
April 2, 2002 - February 3, 2009
OPPENHEIMERFUNDS DISTRIBUTOR, INC.
State Registrations and Notice Filings
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Visual representation of state registrations
Exams
Series 6TO
Date: 11/11/2022
Investment Company Products/Variable Contracts Representative ExaminationFINRA
Current Firm
FEF DISTRIBUTORS, LLC
CRD#: 46585 / SEC#: , 8-51483
Contact information
FINRA licenses (52 States and Territories)
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| FIRST EAGLE INVESTMENT MANAGEMENT, LLC | MANAGING MEMBER | 108260 |
| BRUNO, ROBERT | MANAGER | 2102844 |
| CARULLO, MODESTINO VITO | CHIEF COMPLIANCE OFFICER | 1528768 |
| CONSTANTINO, MICHAEL | MANAGER | 2932606 |
| FONG, CHUN WAI | CHIEF FINANCIAL OFFICER AND FINOP | 4944446 |
| OCONNOR, DAVID | GENERAL COUNSEL AND MANAGER | 5077118 |
| RICCIO, FRANK JOSEPH | PRESIDENT AND MANAGER | 4271374 |
Disclosures
| Regulatory Event | 1 |
Red Flags
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