Cara G. Stevens
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.
Cara Gasses Stevens, who also goes by Cara Lynda Gasses, was a registered financial professional .
Cara is a previously registered financial professional and started their career in finance in 2001. Cara had worked at 7 firms and has passed the Series 66, Series 63, SIE and Series 7 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
January 22, 2016 - March 22, 2017
HARVEST OAK CAPITAL
December 13, 2010 - July 1, 2017
WALNUT CREEK CAPITAL ADVISORS, LLC
August 14, 2009 - December 31, 2015
HARVEST OAK CAPITAL
July 15, 2009 - February 22, 2010
LIHTC SECURITIES, LLC
July 1, 2008 - March 18, 2009
STANFORD GROUP COMPANY
November 2, 2007 - March 18, 2009
STANFORD GROUP COMPANY
June 30, 2005 - November 6, 2007
TRUIST INVESTMENT SERVICES, INC.
April 12, 2002 - June 30, 2005
TRUIST SECURITIES, INC.
May 3, 2001 - April 17, 2002
DEUTSCHE BANK SECURITIES 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
HARVEST OAK CAPITAL
CRD#: 150073 / SEC#: 801-70099
Contact information
Regulatory assets under management
| Total Number of Accounts | 23 |
| AUM (Assets Under Management) | $ 5,968,000 |
Red Flags
Disclosures can be potential red flags, including customer disputes, regulatory fines, employer terminations, bankruptcies, judgments, liens, or certain criminal activities.
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