Carolyn W. Raju
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 Wharton Raju, who also goes by Carolyn E Wharton, Carolyn Wharton, was a registered financial professional .
Carolyn is a previously registered financial professional and started their career in finance in 2007. Carolyn had worked at 7 firms and has passed the Series 65, Series 63, SIE, Series 7 and Series 24 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
December 14, 2019 - August 29, 2022
COMPASS DISTRIBUTORS, LLC
December 14, 2015 - January 4, 2018
OPPENHEIMERFUNDS DISTRIBUTOR, INC.
July 3, 2013 - December 17, 2015
FORESIDE FUND SERVICES, LLC
September 26, 2012 - July 15, 2013
QUOIN CAPITAL LLC
October 8, 2009 - May 17, 2011
CHART GROUP ADVISORS, LLC
May 1, 2008 - December 22, 2008
PFM FUND DISTRIBUTORS, INC.
October 4, 2007 - February 12, 2008
WELLS FARGO ADVISORS FINANCIAL NETWORK, 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
Current Firm
COMPASS DISTRIBUTORS, LLC
CRD#: 172662 / SEC#: , 8-69518
Contact information
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| LA FOND, SUSAN LORENE | CHIEF COMPLIANCE OFFICER / VP / TREASURER | 4512785 |
Red Flags
Disclosures can be potential red flags, including customer disputes, regulatory fines, employer terminations, bankruptcies, judgments, liens, or certain criminal activities.
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