Carolyn P. Dion
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.
Carolyn Pauline Dion was a registered financial professional .
Carolyn is a previously registered financial professional and started their career in finance in 2005. Carolyn had worked at 3 firms and has passed the Series 65, Series 55, Series 7, Series 21 and Series 25 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
October 8, 2008 - June 10, 2014
ATLAS PRIVATE WEALTH MANAGEMENT, LLC
October 25, 2007 - April 7, 2008
KELLOGG CAPITAL MARKETS, LLC
March 13, 2007 - October 25, 2007
KELLOGG CAPITAL GROUP LLC
September 12, 2005 - March 9, 2007
KELLOGG CAPITAL MARKETS, LLC
August 16, 2005 - August 29, 2005
KELLOGG CAPITAL GROUP LLC
August 1, 2005 - August 12, 2005
KELLOGG CAPITAL MARKETS, LLC
July 6, 2005 - July 29, 2005
KELLOGG CAPITAL GROUP LLC
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 55
Date: 2/11/2008
Limited Representative-Equity Trader ExamSeries 21
Date: 10/5/2006
NYSE Front Line Specialist ClerkSeries 25
Date: 2/2/2006
NYSE Trading Assistant ExaminationCurrent Firm
ATLAS PRIVATE WEALTH MANAGEMENT, LLC
CRD#: 145331 / SEC#: 801-68444
Contact information
Documents
Regulatory assets under management
| Total Number of Accounts | 3,633 |
| AUM (Assets Under Management) | $ 1,256,022,576 |
Accountant surprise examination report
| Filing Date | Form ADV-E Cover | Form ADV-E Report |
|---|---|---|
| 06/24/2024 | ||
| 01/08/2024 | ||
| 01/12/2023 |
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.
