Carrie A. Sublett
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.
Carrie Alison Sublett, who also goes by Carrie Alison Mccorkle, Carrie Alison Venery, was a registered financial professional .
Carrie is a previously registered financial professional and started their career in finance in 2006. Carrie had worked at 2 firms and has passed the Series 66 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
February 13, 2007 - September 13, 2012
STEPHENS INVESTMENT MANAGEMENT GROUP, LLC
December 7, 2006 - September 11, 2012
STEPHENS
September 21, 2006 - September 11, 2012
STEPHENS
Primary Firm SEC Registration
STEPHENS INVESTMENT MANAGEMENT GROUP, LLC
CRD#: 136369 / SEC#: 801-64675
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
STEPHENS INVESTMENT MANAGEMENT GROUP, LLC
CRD#: 136369 / SEC#: 801-64675
Contact information
SEC notice filing (33 States and Territories)
Regulatory assets under management
| Total Number of Accounts | 174 |
| AUM (Assets Under Management) | $ 7,637,388,860 |
Accountant surprise examination report
| Filing Date | Form ADV-E Cover | Form ADV-E Report |
|---|---|---|
| 01/22/2025 | ||
| 02/07/2024 | ||
| 11/29/2022 |
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.
