Carol S. Christner
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.
Carol Sue Christner was a registered financial professional .
Carol is a previously registered financial professional and started their career in finance in 2011. Carol had worked at 3 firms and has passed the Series 63, SIE and Series 6 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
April 27, 2022 - January 25, 2023
M STEVENS SECURITIES, LLC
November 29, 2017 - July 8, 2020
LPL FINANCIAL LLC
May 10, 2013 - November 29, 2017
NATIONAL PLANNING CORPORATION
June 24, 2011 - May 21, 2013
LPL FINANCIAL 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
Current Firm
M STEVENS SECURITIES, LLC
CRD#: 296750 / SEC#: , 8-70209
Contact information
FINRA licenses (3 States and Territories)
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| M STEVENS CORP. | HOLDING COMPANY | |
| STEWART, MARK | CEO / CCO | 2074085 |
Red Flags
Disclosures can be potential red flags, including customer disputes, regulatory fines, employer terminations, bankruptcies, judgments, liens, or certain criminal activities.
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