Carole J. Snelson
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.
Carole Jean Snelson, who also goes by Carole Jean Jennings, was a registered financial professional .
Carole is a previously registered financial professional and started their career in finance in 1974. Carole had worked at 4 firms and has passed the Series 63 and Series 1 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
February 15, 1991 - December 3, 1992
NATIONAL SECURITIES CORPORATION
March 23, 1978 - October 25, 1990
NATIONAL SECURITIES CORPORATION
June 15, 1977 - March 23, 1978
COLUMBIA-CASCADE SECURITIES CORPORATION
May 15, 1975 - August 13, 1976
HARRIS GARY FREDERICK INC
April 15, 1974 - May 15, 1975
HARRIS, GARY & FREDERICK, 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: 4/9/1974
Registered Representative ExaminationCurrent Firm
NATIONAL SECURITIES CORPORATION
CRD#: 7569 / SEC#: , 8-164
Contact information
FINRA licenses (1 States and Territories)
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| NATIONAL HOLDINGS CORPORATION | PARENT, OWNER | |
| MARKUNAS, MICHAEL | CHIEF COMPLIANCE OFFICER | 1832307 |
Disclosures
| Regulatory Event | 66 |
| Arbitration | 16 |
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.
