Lindsey N. Grolman
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 Nicole Grolman, who also goes by Lindsey Nicole Carnation, was a registered financial professional .
Lindsey is a previously registered financial professional and started their career in finance in 2008. Lindsey had worked at 1 firm and has passed the Series 63, Series 79TO, 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
November 19, 2008 - October 28, 2024
M&A CAPITAL HOLDINGS, 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 79TO
Date: 1/2/2023
Investment Banking Registered Representative ExaminationCurrent Firm
M&A CAPITAL HOLDINGS, LLC
CRD#: 131286 / SEC#: , 8-66436
Contact information
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| THE MURPHY FAMILY TRUST | TRUST | |
| GROLMAN, LINDSEY NICOLE | DIRECTOR | 5477963 |
| MURPHY, THOMAS JOHN | ANTI MONEY LAUNDERING COMPLIANCE OFFICER/TRUSTEE | |
| MURPHY, THOMAS JOHN | MANAGING DIRECTOR/TRUSTEE | |
| MURPHY, THOMAS JOHN | CHIEF COMPLIANCE OFFICER/TRUSTEE |
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.
