Carol Wilson Proffer Fsa
Professional Summary
Carol Wilson Proffer FSA, who also goes by Carol W Proffer, Carol Wilson Proffer, Carol Diane Wilson, was a registered financial advisor. Carol was a previously registered financial professional and started their career in finance 1978 - 2015. Carol had worked at 5 firms and has passed the Series 63, SIE, Series 7, Series 6 and Series 1 exams.
At a Glance
Fiduciary Standard
Fee Structure
Account Minimum
Active Clients
Fiduciary Standard
Fee Structure
Account Minimum
Active Clients
Other Aliases
Carol W Proffer, Carol Wilson Proffer, Carol Diane Wilson
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Videos & Posts
This advisor has not added any videos or posts yet.
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Contact Information
No current employment
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Disclosures are events reported to regulators, such as customer disputes, regulatory actions, employment separations, or financial events. Some are resolved, denied, or contested — a disclosure is not a verdict. We recommend asking an advisor directly about any disclosure on their record.
Disclosures on record.
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.
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Years of Experience
48 years in the financial services industry
Current & Past Employments
Past
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Current Firm
CSP SECURITIES, LP
Contact Information
Established
Delaware since 05/21/2001Firm Type
PartnershipFiscal Year End
MarchFirm Size
SmallDocuments
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| CAPSTONE PARTNERS, L.P. | LIMITED PARTNER | — |
| CAPSTONE PARTNERS GP, LLC | GENERAL PARTNER | — |
| HARGIS, TIFFANY DAE | CHIEF COMPLIANCE OFFICER | 2931402 |
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Other business activities
Information obtained from regulatory filings. Advisors can request corrections through their firm or regulator.
Outside business activity is any business or activity undertaken by an advisor that is outside the scope of their relationship with their firm (e.g., consulting services, real estate, freelance work, teaching, etc.). Investors should stay informed about these activities to ensure no conflicts of interest.
The advisor shows no other business activity.
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State Registrations and Notice Filings
Exams
Financial professionals may take different exams throughout their careers based on the types of services they provide and roles they perform.
Series 6 — Investment Company Products/Variable Contracts Representative Examination
Passed Dec 1999About the Series 6 examSeries 1 — Registered Representative Examination
Passed Sep 1978Similar Advisors
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CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.Similar Advisors
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