Caroline M. Prince
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.
Caroline Menuet Prince, who also goes by Caroline Menuet Scott, Caroline Menuet Scott Emmons, was a registered financial professional .
Caroline is a previously registered financial professional and started their career in finance in 2007. Caroline had worked at 2 firms and has passed the Series 66, Series 7TO, Series 99TO, SIE, Series 7 and Series 28 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
June 22, 2017 - December 16, 2021
MOWELL FINANCIAL GROUP, NA
July 24, 2008 - February 26, 2014
MOWELL FINANCIAL GROUP, NA
October 8, 2007 - December 22, 2021
MOWELL FINANCIAL GROUP, INC.
State Registrations and Notice Filings
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Exams
Series 7TO
Date: 3/22/2024
General Securities Representative ExaminationSeries 99TO
Date: 3/22/2024
Operations Professional ExaminationSeries 28
Date: 3/22/2024
Introducing Broker/Dealer Financial Operations Principal ExaminationCurrent Firm
MOWELL FINANCIAL GROUP, NA
CRD#: 105955 / SEC#: 801-15844
Contact information
Red Flags
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