Carl W. Andersen
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.
Carl Willie Andersen JR, who also goes by Carl Willie Andersen, Corky Andersen, Carl W Anderson Jr, Carl Willie Anderson, was a registered financial professional .
Carl is a previously registered financial professional and started their career in finance in 1982. Carl had worked at 9 firms and has passed the Series 63, Series 7, Series 24 and Series 4 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
January 22, 2007 - December 12, 2011
MF GLOBAL INC.
May 8, 1995 - April 6, 2000
LFG, L.L.C.
January 20, 1995 - July 6, 2005
BROOKSTREET SECURITIES CORPORATION
September 6, 1991 - March 4, 1993
INDEX SECURITIES, INC.
June 16, 1989 - October 31, 1990
LASALLE ST SECURITIES, L.L.C.
August 8, 1988 - May 17, 1990
ADVANTAGE CAPITAL CORPORATION
February 13, 1984 - April 4, 1988
FIRST AFFILIATED SECURITIES, INC.
June 21, 1982 - December 20, 1982
OMEGA NORTHWEST, INC.
April 28, 1982 - June 9, 1982
OTC NET INCORPORATED
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
MF GLOBAL INC.
CRD#: 6731 / SEC#: , 8-18104
Contact information
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| MF GLOBAL HOLDING USA INC | SHAREHOLDER | |
| ABELOW, BRADLEY IRA | DIRECTOR AND EVP | 1983124 |
| CORZINE, JON STEVENS | PRESIDENT AND CEO | 811812 |
| FERBER, LAURIE RUTH | DIRECTOR | 1687254 |
| FORLENZA, PETER CHARLES | SENIOR VICE PRESIDENT | 2366985 |
| LOWERY-WHILLE, TRACY ANN | CHIEF COMPLIANCE OFFICER AND SVP | 2872693 |
| MACDONALD, JOHN RANALD | DIRECTOR AND EVP | 2540475 |
| SERWINSKI, CHRISTINE ANN | CFO & FINOP & SVP | 4169392 |
Disclosures
| Regulatory Event | 37 |
| Civil Event | 1 |
| Arbitration | 3 |
Red Flags
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