Carol K. Reed
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.
Carol Kay Reed was a registered financial professional .
Carol is a previously registered financial professional and started their career in finance in 1979. Carol had worked at 7 firms and has passed the Series 63 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
July 7, 1988 - August 7, 1989
MARSHALL DAVIS, INC.
January 24, 1986 - June 12, 1986
MALONE & ASSOCIATES, INC.
February 25, 1983 - February 4, 1984
ROCKY MOUNTAIN SECURITIES & INVESTMENTS, INC.
August 27, 1980 - February 28, 1983
WALL STREET WEST, INC.
July 10, 1980 - August 23, 1980
OTC NET INCORPORATED
March 26, 1980 - July 10, 1980
BLINDER, ROBINSON & CO., INC.
December 21, 1979 - April 14, 1980
AMERICAN WESTERN SECURITIES, INC.
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
MARSHALL DAVIS, INC.
CRD#: 16278 / SEC#: , 8-33619
Contact information
Documents
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.
