Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you Carolyn? Claim Your ProfileCarolyn Mathis is a registered representative with Harbor View Advisors, LLC and has been in the industry since 2000. Carolyn has a Series 7, Series 63, Series 24, Series 28, Series 3, SIE, Series 62, Series 79TO, and Series 99TO license. Carolyn has been registered with FINRA since 2010.
Advisors offer a broad range of advisory services designed to meet the unique needs of individuals, businesses, and investment companies. These services provide professional guidance and personalized strategies to help clients achieve their financial goals.
Advisors may be compensated through a variety of fee structures, offering flexibility and transparency. This allows clients to choose the arrangement that best aligns with their financial objectives.
1
2
FL
10/08/2010 - Present
Harbor View Advisors, LLC (NEPTUNE BEACH FL)
NY
05/14/1998 - 02/18/2005
GOLDMAN, SACHS & CO. (NEW YORK NY)
NY
09/08/1993 - 04/30/1997
GOLDMAN, SACHS & CO. (NEW YORK NY)
BC
Issued 12/01/2009
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 01/02/2023
Series 14 - Compliance Officer Examination
BC
Issued 06/18/2010
Series 28 - Introducing Broker/Dealer Financial Operations Principal Examination
BC
Issued 04/06/2010
Series 24 - General Securities Principal Examination
BC
Issued 01/02/2023
Series 79TO - Investment Banking Registered Representative Examination
BC
Issued 01/02/2023
Series 99TO - Operations Professional Examination
BC
Issued 01/02/2023
Series 62 - Corporate Securities Limited Representative Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 11/12/2009
Series 7 - General Securities Representative Examination
BC
Issued 06/23/1994
Series 3 - National Commodity Futures Examination
Active
Inactive
F
FINRA
Not sure Carolyn Mathis is the right advisor for you? Invested Better is here to help.
