Linda S. Carmy
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.
Linda S Carmy, who also goes by Linda Schwartz, was a registered financial professional .
Linda is a previously registered financial professional and started their career in finance in 2001. Linda had worked at 2 firms and has passed the Series 63, SIE, Series 7, Series 4 and Series 24 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
February 4, 2010 - August 7, 2017
HAPOALIM SECURITIES USA, INC.
March 28, 2007 - December 31, 2008
HAPOALIM SECURITIES USA, INC.
September 8, 2003 - March 7, 2007
VALLEY FINANCIAL MANAGEMENT, INC.
May 3, 2001 - June 26, 2001
VALLEY FINANCIAL MANAGEMENT, 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
HAPOALIM SECURITIES USA, INC.
CRD#: 266 / SEC#: , 8-3018
Contact information
Documents
Disclosures
| Regulatory Event | 32 |
| Civil Event | 1 |
| Arbitration | 6 |
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.
