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CH

Carla J. Halverson

Some features on this profile are disabled
CRD#: 859074
CH

Professional summary

Carla Joy Halverson was barred by the FINRA from acting as a broker or investment advisor or otherwise associating with a broker-dealer firm.

Carla is a previously registered financial professional and started their career in finance in 1978. Prior to being barred, Carla had worked at 9 firms, which includes CONSECO SECURITIES INC., SUNAMERICA SECURITIES INC., CETERA ADVISORS LLC, CONSOLIDATED INVESTMENT SERVICES INC., INTERCAP FINANCIAL CORPORATION, CHRISTOPHER WEIL & COMPANY INC, AMERICAN EXPRESS FINANCIAL CORPORATION, AMERIPRISE FINANCIAL SERVICES LLC, IDS LIFE INSURANCE COMPANY.

top-8-questions

Question & Answer

Are you a "fiduciary"?
No

Aliases

None

Other business activities

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.

Blog Corner

CRS (Client Relationship Summary)

The CRS(Customer Relationship Summary) document is not provided.

Certified licenses

Advisors may have various certifications and credentials from different organizations. AdvisorCheck highlights these seven certifications - AIF®, CFP®, ChFC®, CFA, CLU®, CIMA®, CPWA®
None

Experience

Past

January 4, 2000 - September 15, 2000

CONSECO SECURITIES, INC.

BD
CRD#: 29367
CARMEL, IN
Past

September 20, 1995 - December 31, 1999

SUNAMERICA SECURITIES, INC.

BD
CRD#: 20068
PHOENIX, AZ
Past

October 25, 1990 - September 19, 1995

CETERA ADVISORS LLC

BD
CRD#: 10299
GREENWOOD VILLAGE, CO
Past

October 5, 1989 - November 9, 1990

CONSOLIDATED INVESTMENT SERVICES, INC.

BD
CRD#: 7929
LITTLETON, CO
Past

September 15, 1988 - October 31, 1989

INTERCAP FINANCIAL CORPORATION

BD
CRD#: 15420
Past

June 25, 1987 - July 29, 1988

CHRISTOPHER WEIL & COMPANY, INC

BD
CRD#: 6566
Past

November 2, 1978 - December 28, 1983

AMERICAN EXPRESS FINANCIAL CORPORATION

BD
CRD#: 6320
Past

November 2, 1978 - December 28, 1983

AMERIPRISE FINANCIAL SERVICES, LLC

BD
CRD#: 6363
Past

November 2, 1978 - December 28, 1983

IDS LIFE INSURANCE COMPANY

BD
CRD#: 6321

State Registrations and Notice Filings

Listed states reflect where the advisor is authorized to serve clients under state regulations.

Visual representation of state registrations

This advisor is not registered in any state.

Exams

State Security Law Exam
IAR
Series 65
Date: 12/14/1998
Uniform Investment Adviser Law Examination
State Security Law Exam
RR
Series 63
Date: 1/12/1989
Uniform Securities Agent State Law Examination
General Industry/Product Exam
RR
Series 7
Date: 12/20/1986
General Securities Representative Examination
General Industry/Product Exam
RR
Series 1
Date: 10/27/1978
Registered Representative Examination
Principal/Supervisory Exam
RR
Series 24
Date: 9/24/1990
General Securities Principal Examination

Current Firm

CS
CONSECO SECURITIES, INC.
CONSECO FINANCIAL SERVICES, INC. | MDS SECURITIES, A DIVISION OF CONSECO SECURITIES, INC. | MDS SECURITIES INCORPORATED | CONSECO SECURITIES, INC.

CRD#: 29367 / SEC#: , 8-44287

BD
Terminated by SEC on 09/29/2002
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Contact information

Main Address
Mailing Address
Phone number
Established
Delaware since 06/21/1991
Firm type
Corporation
Fiscal year end
December
# of Employees

Documents

Direct owners and executive officers

NamePositionCRD#
CONSECO INTERIM HOLDINGS CORPORATION (CIHC)SHAREHOLDER
BARRA, DAVID JOSEPHSENIOR VICE PRESIDENT/FINANCIAL & OPERATIONS PRINCIPAL4399587
CULLEMFIORE, MARGARET ANNVICE PRESIDENT, ASSOCIATE GENERAL COUNSEL & ASSISTANT SECRETARY/CHIEF COMPLIANCE OFFICER703791

Disclosures

Regulatory Event1

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.

Company Information

CONSECO SECURITIES, INC.

CRD#: 29367

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