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CL

Caroline J. Luster

MARIVA CAPITAL MARKETS
Miami, FL 33131
Some features on this profile are disabled
CRD#: 6249048
CL

Professional summary

Caroline Jennifer Luster, who also goes by Caroline J Harrill, Carrie J Harrill, Caroline Jennifer Luster, Caroline Luster, Carrie J Luster, Caroline J Powell, Carrie J Powell, is a registered financial professional currently at MARIVA CAPITAL MARKETS, LLC located in Miami, Florida and JP PORTSMOUTH CAPITAL LLC located in New York, New York.

Caroline is registered as a RR (Registered Representative) and started their career in finance in 2014. Caroline has worked at 4 firms and has passed the Series 99TO, SIE, Series 11 and Series 27 exams.

Question & Answer

Are you a "fiduciary"?
No

Aliases

Caroline J Harrill | Carrie J Harrill | Caroline Jennifer Luster | Caroline Luster | Carrie J Luster | Caroline J Powell | Carrie J Powell

Other business activities

Outside business activity is any business or activity undertaken by an advisor that is outside the scope of their relationship with their firm (e.g., consulting services, real estate, freelance work, teaching, etc.). Investors should stay informed about these activities to ensure no conflicts of interest.
The advisor shows no other business activity.

Blog Corner

CRS (Client Relationship Summary) - BD

Click below to view Caroline Jennifer Luster's CRS (Customer Relationship Summary).

Certified licenses

Advisors may have various certifications and credentials from different organizations. AdvisorCheck highlights these seven certifications - AIF®, CFP®, ChFC®, CFA, CLU®, CIMA®, CPWA®
None

Experience

Current

February 16, 2024 - Present

MARIVA CAPITAL MARKETS, LLC

Office #1: 150 Se 2nd Avenue Suite Ph 4, Miami, FL 33131
BD
CRD#: 156171
Miami, FL
Current

December 19, 2024 - Present

JP PORTSMOUTH CAPITAL LLC

Office #1: 1 World Trade Center, Suite 86a, New York, NY 10007-0089
BD
CRD#: 331351
NEW YORK, NY
Current

December 4, 2025 - Present

THOMPSON RESEARCH GROUP, LLC

Office #1: 3322 West End Avenue Suite 360, Nashville, TN 37203
BD
CRD#: 337495
Nashville, TN
Past

January 14, 2014 - December 21, 2017

TRUSTFIRST

BD
CRD#: 39057
KNOXVILLE, TN

State Registrations and Notice Filings

Listed states reflect where the advisor is authorized to serve clients under state regulations.

RR
indicates the advisor is registered as a Registered Representative in this state, allowing them to offer securities such as stocks, bonds, and mutual funds through a broker-dealer.

Visual representation of state registrations

RR
Florida
(2/16/2024)

Exams

General Industry/Product Exam
RR
Series 99TO
Date: 12/4/2025
Operations Professional Examination
General Industry/Product Exam
RR
SIE
Date: 12/4/2025
Securities Industry Essentials Examination
General Industry/Product Exam
RR
Series 11
Date: 1/14/2014
Assistant Representative-Order Processing Qualification Exam
Principal/Supervisory Exam
RR
Series 27
Date: 12/29/2023
Financial and Operations Principal Examination
SRO Registrations
RR
FINRA

Current Firm

TR
THOMPSON RESEARCH GROUP, LLC
THOMPSON RESEARCH GROUP, LLC | THOMPSON RESEARCH, LLC

CRD#: 337495 / SEC#: , 8-71392

BD
Broker-Dealer Firm Regulated by FINRA (New Orleans district office)
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Contact information

Main Address
3322 West End Avenue Suite 360, Nashville, TN 37203
Mailing Address
3322 West End Avenue Suite 360, Nashville, TN 37203
Phone number
(615) 891-6202
Established
Tennessee since 06/16/2025
Firm type
Limited Liability Company
Fiscal year end
December
Firm Size
Small
# of Employees

FINRA licenses (1 States and Territories)

Blank US states mapAlaskaHawaiiAlabamaArkansasArizonaCaliforniaColoradoConnecticutDelawareFloridaGeorgiaIowaIdahoIllinoisIndianaKansasKentuckyLouisianaMassachusettsMarylandMaineMichiganMinnesotaMissouriMississippiMontanaNorth CarolinaNorth DakotaNebraskaNew HampshireNew JerseyNew MexicoNevadaNew YorkOhioOklahomaOregonPennsylvaniaRhode IslandSouth CarolinaSouth DakotaTennesseeTexasUtahVirginiaVermontWisconsinWest VirginiaWyoming

Documents

Direct owners and executive officers

NamePositionCRD#
THOMPSON, KATHRYN INGRAMPRESIDENT/CEO4430781
WHITE, CHRISTOPHER EARLMANAGING MEMBER/CHIEF COMPLIANCE OFFICER/AML OFFICER2283035
LUSTER, CAROLINE JENNIFERFINOP/PFO/POO6249048

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.

Company Information

THOMPSON RESEARCH GROUP, LLC

CRD#: 337495Miami, FL 33131

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