Carol J. Vanvalkenburgh
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 Joan Vanvalkenburgh, who also goes by Carol Joan Sills, Carol Joan Webster, was a registered financial professional .
Carol is a previously registered financial professional and started their career in finance in 2011. Carol had worked at 2 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
October 28, 2015 - September 29, 2016
FORESTERS FINANCIAL SERVICES, INC.
August 16, 2011 - December 31, 2014
PFS INVESTMENTS INC.
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
FORESTERS FINANCIAL SERVICES, INC.
CRD#: 305 / SEC#: , 8-13891
Contact information
Documents
Disclosures
| Regulatory Event | 34 |
| Civil Event | 3 |
| Arbitration | 18 |
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.
