Caroline F. Dampier
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 Frances Dampier, who also goes by Caroline Frances Dowd, was a registered financial professional .
Caroline is a previously registered financial professional and started their career in finance in 2008. Caroline had worked at 2 firms and has passed the Series 63, SIE, Series 3, Series 55, Series 7 and Series 4 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
June 29, 2009 - January 3, 2017
VIRTU ITG LLC
December 16, 2008 - May 15, 2009
BANC OF AMERICA SECURITIES 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 55
Date: 12/7/2011
Limited Representative-Equity Trader ExamCurrent Firm
VIRTU ITG LLC
CRD#: 29299 / SEC#: , 8-44218
Contact information
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| VIRTU ITG HOLDINGS LLC | SHAREHOLDER | |
| CAVOLI, STEPHEN JOHN | CHIEF EXECUTIVE OFFICER | 4468202 |
| ILARIO, ANTHONY | CHIEF OPERATIONS OFFICER | 2262100 |
| LEVINE, MATTHEW STEVEN | CHIEF COMPLIANCE OFFICER | 5384169 |
| ROSS, CHRISTOPHER MICHAEL | REGISTERED OPTIONS SECURITIES FUTURES PRINCIPAL | 4749157 |
| SULLIVAN, JOHN GERALD | FINOP | 4330347 |
| WILLIAMS, IAN TIMOTHY MR. | MANAGING DIRECTOR | 5637056 |
Disclosures
| Regulatory Event | 40 |
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.
