Carlene R. Mantz
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.
Carlene Rae Mantz, who also goes by Carlene Rae Colvin, Carlene Rae Walburg, was a registered financial professional .
Carlene is a previously registered financial professional and started their career in finance in 2012. Carlene had worked at 1 firm 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
June 6, 2012 - January 31, 2013
BAY MUTUAL 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
BAY MUTUAL FINANCIAL, LLC
CRD#: 130535 / SEC#: 801-72074, 8-66358
Contact information
Regulatory assets under management
| Total Number of Accounts | 71 |
| AUM (Assets Under Management) | $ 25,403,214,863 |
Disclosures
| Regulatory Event | 1 |
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.
