C. D. Sponcil
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.
C. D Sponcil, who also goes by Carroll Dudley Sponcil, was a registered financial professional .
C. is a previously registered financial professional and started their career in finance in 1977. C. had worked at 9 firms and has passed the Series 65, Series 63, Series 7 and Series 1 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
October 26, 2010 - May 2, 2012
CARROLL D. SPONCIL, REGISTERED INVESTMENTADVISOR, LLC.
January 19, 2004 - February 11, 2004
CITIGROUP GLOBAL MARKETS INC.
July 31, 1993 - February 11, 2004
CITIGROUP GLOBAL MARKETS INC.
March 7, 1988 - July 31, 1993
LEHMAN BROTHERS INC.
January 19, 1983 - March 7, 1988
E. F. HUTTON & COMPANY INC
January 31, 1980 - January 28, 1983
UBS FINANCIAL SERVICES INC.
July 14, 1978 - January 31, 1980
PAINE, WEBBER, JACKSON & CURTIS INCORPORATED
October 17, 1977 - July 17, 1978
AMERICAN EXPRESS FINANCIAL CORPORATION
October 17, 1977 - July 17, 1978
AMERIPRISE FINANCIAL SERVICES, LLC
October 17, 1977 - July 17, 1978
IDS LIFE INSURANCE COMPANY
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 1
Date: 10/7/1977
Registered Representative ExaminationCurrent Firm
CARROLL D. SPONCIL, REGISTERED INVESTMENTADVISOR, LLC.
CRD#: 145522 / SEC#:
Contact information
Red Flags
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