Carolbeth Cook
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.
Carolbeth Cook, who also goes by Carol B Buchanan, Carol Beth Buchanan, Carolbeth Buchanan, Carolbeth Cook, was a registered financial professional .
Carolbeth is a previously registered financial professional and started their career in finance in 2016. Carolbeth had worked at 3 firms and has passed the Series 66, 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
August 29, 2018 - June 3, 2021
THE MAIN STREET GROUP
November 20, 2017 - October 22, 2020
KESTRA INVESTMENT SERVICES, LLC
July 13, 2016 - November 28, 2017
LPL FINANCIAL LLC
Primary Firm SEC Registration
THE MAIN STREET GROUP
CRD#: 175502 / SEC#: 801-113192
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
THE MAIN STREET GROUP
CRD#: 175502 / SEC#: 801-113192
Contact information
SEC notice filing (12 States and Territories)
Documents
Regulatory assets under management
| Total Number of Accounts | 2,342 |
| AUM (Assets Under Management) | $ 470,325,672 |
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.
