Cara M. Cawood
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.
Cara Marie Cawood, who also goes by Cara Marie Sharbaugh, was a registered financial professional .
Cara is a previously registered financial professional and started their career in finance in 2010. Cara had worked at 5 firms and has passed the Series 66, 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 5, 2016 - February 28, 2017
MID ATLANTIC FINANCIAL MANAGEMENT, INC.
December 5, 2016 - February 28, 2017
NEWEDGE SECURITIES, LLC
September 7, 2016 - December 16, 2016
SMART ADVISORY GROUP, LLC
March 26, 2013 - September 13, 2016
PWA WEALTH MANAGEMENT
June 23, 2010 - September 13, 2016
PWA SECURITIES, 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
MID ATLANTIC FINANCIAL MANAGEMENT, INC.
CRD#: 109771 / SEC#: 801-21527
Contact information
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.
