Carol N. Lipner

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CRD#: 4434543

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.

Carol Nmn Lipner, who also goes by Carol Ferrara, Carol Lipner, was a registered financial professional .

Carol is a previously registered financial professional and started their career in finance in 2002. Carol had worked at 17 firms and has passed the Series 27 exam.

Question & Answer

Are you a "fiduciary"?

Aliases

Carol Ferrara | Carol Lipner

Other business activities

Outside business activity is any business or activity undertaken by an advisor that is outside the scope of their relationship with their firm (e.g., consulting services, real estate, freelance work, teaching, etc.). Investors should stay informed about these activities to ensure no conflicts of interest.

The advisor shows no other business activity.

Blog Corner

CRS (Client Relationship Summary)

The CRS(Customer Relationship Summary) document is not provided.

Certified licenses

Advisors may have various certifications and credentials from different organizations. AdvisorCheck highlights these seven certifications - AIF®, CFP®, ChFC®, CFA, CLU®, CIMA®, CPWA®

None

Experience

Past

July 25, 2016 - January 24, 2017

DEIMOS SECURITIES LLC

CRD#: 175499

PURCHASE, NY

Past

July 12, 2016 - January 20, 2017

CSNR SERVICES, LLC

CRD#: 282085

Rye Brook, NY

Past

May 2, 2016 - December 19, 2016

GREYWOLF EXECUTION PARTNERS, INC.

CRD#: 147790

NEW YORK, NY

Past

March 15, 2016 - December 15, 2016

VERITAS SECURITIES CORP.

CRD#: 46895

NEW YORK, NY

Past

November 5, 2015 - February 21, 2017

BEACONS STRATEGIC CAPITAL, INC.

CRD#: 32754

CARLSBAD, CA

Past

January 29, 2015 - March 21, 2017

CIRRUS RESEARCH, LLC

CRD#: 143800

NEW YORK, NY

Past

May 14, 2014 - October 28, 2014

PSG EXECUTIONS, INC.

CRD#: 119564

ENGLEWOOD CLIFFS, NJ

Past

May 13, 2014 - October 28, 2014

PRINCETON SECURITIES GROUP, LLC

CRD#: 41233

NEW YORK, NY

Past

September 18, 2013 - March 7, 2017

SEQUOIA INVESTMENTS, INC.

CRD#: 39341

ROSWELL, GA

Past

August 20, 2013 - April 14, 2016

DME SECURITIES, LLC

CRD#: 112584

NEW YORK, NY

Past

March 25, 2013 - September 2, 2014

THIRD SEVEN CAPITAL LLC

CRD#: 160209

NEW YORK, NY

Past

July 17, 2012 - March 26, 2014

JAMES E. COFFEY SECURITIES, INC.

CRD#: 141393

NEW YORK, NY

Past

December 12, 2011 - January 3, 2017

GLOBAL DIRECT EQUITIES, LLC

CRD#: 124514

NEW YORK, NY

Past

July 19, 2011 - February 6, 2012

CENTRADE SECURITIES CORP.

CRD#: 131914

NETANYA,

Past

April 8, 2009 - April 15, 2010

ILLUSTRO TRADING, LLC

CRD#: 32792

NEW YORK, NY

Past

March 6, 2009 - April 17, 2009

PSG EXECUTIONS, INC.

CRD#: 119564

ENGLEWOOD CLIFFS, NJ

Past

March 6, 2009 - April 17, 2009

PRINCETON SECURITIES GROUP, LLC

CRD#: 41233

NEW YORK, NY

Past

October 18, 2002 - February 16, 2015

DIRECT ACCESS PARTNERS LLC

CRD#: 120950

NEW YORK, NY

Past

September 19, 2002 - June 14, 2006

RAVEN SECURITIES CORP.

CRD#: 35201

NEW YORK, NY

State Registrations and Notice Filings

Listed states reflect where the advisor is authorized to serve clients under state regulations.

Visual representation of state registrations

This advisor is not registered in any state.

Exams

Principal/Supervisory Exam

Series 27

Date: 7/15/2002

Financial and Operations Principal Examination

Current Firm

DEIMOS SECURITIES LLC

CRD#: 175499 / SEC#: , 8-69602

Terminated by SEC on 02/06/2017

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Contact information

Main Address

Mailing Address

Phone number

Established

Delaware since 02/26/2015

Firm type

Limited Liability Company

Fiscal year end

December

# of Employees

Documents

Direct owners and executive officers

Name	Position	CRD#
DEIMOS MANAGEMENT HOLDINGS LLC	MEMBER
HUGHES, PATRICK THOMAS	MANAGING PARTNER AND CHIEF COMPLIANCE OFFICER	1205626
KATZOVITZ, LOREN MARK	MANAGING PARTNER	1297659
LIPNER, CAROL NMN	CHIEF FINANCIAL OFFICER	4434543
STANDISH, MARK ALLAN	MANAGING PARTNER	2223303

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.

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Firm Stability Insights

Carol N. Lipner

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary)

Certified licenses

Experience

CSNR SERVICES, LLC

GREYWOLF EXECUTION PARTNERS, INC.

VERITAS SECURITIES CORP.

BEACONS STRATEGIC CAPITAL, INC.

CIRRUS RESEARCH, LLC

PSG EXECUTIONS, INC.

PRINCETON SECURITIES GROUP, LLC

SEQUOIA INVESTMENTS, INC.

DME SECURITIES, LLC

THIRD SEVEN CAPITAL LLC

JAMES E. COFFEY SECURITIES, INC.

GLOBAL DIRECT EQUITIES, LLC

CENTRADE SECURITIES CORP.

ILLUSTRO TRADING, LLC

PSG EXECUTIONS, INC.

PRINCETON SECURITIES GROUP, LLC

DIRECT ACCESS PARTNERS LLC

RAVEN SECURITIES CORP.

State Registrations and Notice Filings

Exams

Series 27

Date: 7/15/2002

Current Firm

DEIMOS SECURITIES LLC

Contact information

Documents

Direct owners and executive officers

Red Flags

Company Information

DEIMOS SECURITIES LLC

TRUST BUT VERIFY

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