Caroline C. Lupton
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 Casey Lupton, who also goes by Caroline Marie Casey, Caroline Lupton, was a registered financial professional .
Caroline is a previously registered financial professional and started their career in finance in 2009. Caroline had worked at 3 firms and has passed the Series 66, Series 7 and Series 53 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
February 28, 2011 - April 3, 2012
GEORGE K. BAUM ADVISORS LLC
February 28, 2011 - July 5, 2012
GEORGE K. BAUM & COMPANY
July 19, 2010 - February 25, 2011
VSR FINANCIAL SERVICES, INC.
July 13, 2009 - February 25, 2011
VSR FINANCIAL SERVICES, INC.
State Registrations and Notice Filings
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Visual representation of state registrations
Exams
Current Firm
GEORGE K. BAUM ADVISORS LLC
CRD#: 130205 / SEC#:
Contact information
Red Flags
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