Caroline M. Sampaio
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.
Caroline Mota Sampaio, who also goes by Caroline Sampaio, was a registered financial professional .
Caroline is a previously registered financial professional and started their career in finance in 2017. Caroline had worked at 4 firms and has passed the Series 63, Series 57TO, Series 7TO, SIE, Series 99 and Series 24 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
December 1, 2022 - May 13, 2025
YIELDSTREET MARKETS LLC
April 6, 2022 - November 30, 2022
FENNEL
January 27, 2021 - November 19, 2021
LIME TRADING CORP
September 1, 2017 - August 17, 2020
BANCO DO BRASIL SECURITIES LLC
State Registrations and Notice Filings
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Visual representation of state registrations
Exams
Series 57TO
Date: 2/12/2021
Securities Trader ExamSeries 7TO
Date: 6/20/2019
General Securities Representative ExaminationCurrent Firm
YIELDSTREET MARKETS LLC
CRD#: 172295 / SEC#: , 8-69506
Contact information
FINRA licenses (53 States and Territories)
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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