Lindsey S. Carr
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.
Lindsey Suzanne Carr, who also goes by Lindsey Suzanne Stein, was a registered financial professional .
Lindsey is a previously registered financial professional and started their career in finance in 2003. Lindsey had worked at 4 firms and has passed the Series 63, SIE 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
September 2, 2014 - November 18, 2014
LEBENTHAL & CO., LLC
February 27, 2013 - November 21, 2014
DISCERN SECURITIES, INC.
November 24, 2009 - April 18, 2012
INTERNATIONAL STRATEGY & INVESTMENT GROUP LLC
March 4, 2003 - November 13, 2009
KEYBANC CAPITAL MARKETS 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
LEBENTHAL & CO., LLC
CRD#: 145750 / SEC#: , 8-67750
Contact information
Documents
Disclosures
| Regulatory Event | 3 |
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.
