Candice L. Soave
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.
Candice Lee Soave, who also goes by Candice L Soave, was a registered financial professional .
Candice is a previously registered financial professional and started their career in finance in 2023. Candice had worked at 2 firms and has passed the Series 63, Series 82TO and SIE exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
June 8, 2023 - July 22, 2024
CAROFIN, LLC
April 25, 2023 - July 22, 2024
CAROLINA FINANCIAL SECURITIES, LLC
State Registrations and Notice Filings
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Visual representation of state registrations
Exams
Series 82TO
Date: 4/25/2023
Limited Representative-Private Securities OfferingsCurrent Firm
CAROFIN, LLC
CRD#: 298717 / SEC#: , 8-70224
Contact information
FINRA licenses (21 States and Territories)
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| CAROLINA FINANCIAL SECURITIES, LLC | MEMBER - COMMON | 41970 |
| CAROFIN HOLDINGS, INC. | MEMBER - COMMON | |
| DRAKE, PHILIP CALVIN | MEMBER - PREFERRED | |
| STAR, JOSHUA S. | MEMBER - PREFERRED | 3244678 |
| GILMORE, NICHOLAS CRAIG | CTO, COO-CFO AND FINOP | 5181593 |
| MILHAUPT, PETER STUART | MANAGER | 728310 |
| ROBERTS, BRUCE VICTOR | CCO | 1489110 |
Red Flags
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