Carey T. Mulwee
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.
Carey T Mulwee was a registered financial professional .
Carey is a previously registered financial professional and started their career in finance in 2009. Carey had worked at 4 firms and has passed the Series 66 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
October 15, 2013 - January 2, 2019
PROSPERITY CAPITAL ADVISORS
January 16, 2013 - August 21, 2013
MERCAP SECURITIES, LLC
January 26, 2011 - October 10, 2012
BLUE OCEAN PORTFOLIOS, LLC
May 19, 2009 - January 7, 2011
EDWARD JONES
May 5, 2009 - January 7, 2011
EDWARD JONES
Primary Firm SEC Registration
PROSPERITY CAPITAL ADVISORS
CRD#: 156480 / SEC#: 801-72187
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
PROSPERITY CAPITAL ADVISORS
CRD#: 156480 / SEC#: 801-72187
Contact information
SEC notice filing (42 States and Territories)
Documents
Regulatory assets under management
| Total Number of Accounts | 14,823 |
| AUM (Assets Under Management) | $ 3,684,966,200 |
Red Flags
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