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CL

Caroline J. Luster

MARIVA CAPITAL MARKETS
MIAMI, FL 33131
CRD#: 6249048
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CL
Caroline Jennifer LusterMARIVA CAPITAL MARKETS

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 5 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).
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
Current

May 13, 2026 - Present

AEI SECURITIES, INC.

Office #1: 1300 Wells Fargo Place 30 Seventh Street East, St. Paul, MN 55101-4901
BD
CRD#: 6158
ST. PAUL, MN
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
Colorado
(5/13/2026)
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

AS
AEI SECURITIES, INC.
AEI INCORPORATED | AEI SECURITIES, INC.

CRD#: 6158 / SEC#: , 8-16750

BD
Broker-Dealer Firm Regulated by FINRA (Kansas City district office)
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Contact information

Main Address
1300 Wells Fargo Place 30 Seventh Street East, St. Paul, MN 55101-4901
Mailing Address
1300 Wells Fargo Place 30 Seventh Street East, St. Paul, MN 55101-4901
Phone number
(651) 227-7333
Established
Minnesota since 02/03/1971
Firm type
Corporation
Fiscal year end
December
Firm Size
Small
# of Employees

FINRA licenses (19 States and Territories)

Documents

Customer Relationship Summary (CRS / FINRA)

Direct owners and executive officers

NamePositionCRD#
AEI CAPITAL CORPORATIONHOLDING COMPANY
NYGARD, MARNI JOCEO, PRESIDENT, & CCO6333193
PETERSEN, KEITH ERNESTPRINCIPAL FINANCIAL OFFICER, CFO, SECRETARY AND TREASURER6747299

Disclosures

Regulatory Event3
Civil Event1

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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Company Information

AEI SECURITIES, INC.

CRD#: 6158Miami, FL 33131

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