Carol A. Jervis
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 Ann Jervis was a registered financial professional .
Carol is a previously registered financial professional and started their career in finance in 2012. Carol had worked at 2 firms and has passed the SIE and Series 99 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
April 12, 2016 - March 20, 2017
RAYMOND JAMES INSURANCE GROUP, INC.
April 4, 2012 - December 31, 2015
RAYMOND JAMES & ASSOCIATES, INC.
State Registrations and Notice Filings
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Visual representation of state registrations
Exams
Current Firm
RAYMOND JAMES INSURANCE GROUP, INC.
CRD#: 121221 / SEC#: , 8-65393
Contact information
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| RAYMOND JAMES FINANCIAL, INC. | PARENT | |
| ALLEN, BRADLEY WAYNE | ASSISTANT TREASURER | 6149324 |
| HAWKE, DEBORAH ANNE | ASSISTANT SECRETARY | |
| HYSLOP, JASON BRYANT | CHIEF COMPLIANCE OFFICER | 4237567 |
| MAZIAD, ELIZABETH JANE | PRINCIPAL OPERATIONS OFFICER | 2533215 |
| OLLIA, MARSHALL FARROKH | PRINCIPAL FINANCIAL OFFICER | 3195972 |
| STOLZ, SCOTT LEE | PRESIDENT/CEO | 1054132 |
| SWINK, JAMES THOMAS | VICE PRESIDENT | 1053300 |
| ZANK, DENNIS WILLIAM | DIRECTOR | 871971 |
Red Flags
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