Carole Haynes
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.
Carole Haynes, who also goes by Carole Haynes Boan, Carole Lee Boan, Carole Lee Haynes, Carole Picard Haynes, Carole Haynes Morrison, Carole Lee Picard, was a registered financial professional .
Carole is a previously registered financial professional and started their career in finance in 1977. Carole had worked at 6 firms and has passed the Series 65, Series 63, SIE, Series 3, Series 4, F04 and Series 40 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
October 25, 2001 - July 12, 2017
WASHINGTON SECURITIES CORPORATION
May 5, 1989 - October 23, 2001
FIRST POTOMAC INVESTMENT SERVICES, INC.
December 19, 1987 - April 25, 1989
CAREY JAMISON & COMPANY
November 10, 1987 - January 25, 1988
LARA, SHULL & MAY, LTD
September 13, 1984 - November 20, 1987
FIRST POTOMAC SECURITIES CORPORATION
June 17, 1982 - December 27, 1984
LARA, SHULL & MAY, LTD
April 7, 1977 - June 7, 1983
VOSS & CO., 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
F04
Date: 3/30/1977
Financial Principal ExaminationSeries 40
Date: 3/30/1977
Registered Principal ExaminationCurrent Firm
WASHINGTON SECURITIES CORPORATION
CRD#: 46213 / SEC#: , 8-51359
Contact information
FINRA licenses (19 States and Territories)
Regulatory assets under management
| Total Number of Accounts | 8 |
| AUM (Assets Under Management) | $ 6,975,967 |
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.
