Carolyn Sigman
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.
Carolyn Sigman, who also goes by Carolyn J Komanapalli, Carolyn Tadamala, was a registered financial professional .
Carolyn is a previously registered financial professional and started their career in finance in 2018. Carolyn had worked at 4 firms and has passed the Series 66, Series 63, Series 7TO, 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
December 13, 2021 - September 1, 2023
RISE FINANCIAL LLC
August 14, 2020 - July 16, 2021
SPINNAKER ASSET MANAGEMENT INC.
August 6, 2019 - August 3, 2020
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
March 28, 2019 - August 3, 2020
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
July 27, 2018 - March 11, 2019
SANTANDER SECURITIES 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
Series 7TO
Date: 5/11/2019
General Securities Representative ExaminationCurrent Firm
RISE FINANCIAL LLC
CRD#: 317243 / SEC#:
Contact information
Regulatory assets under management
| Total Number of Accounts | 16 |
| AUM (Assets Under Management) | $ 432,800 |
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.
