Carrie M. Fleetwood
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.
Carrie Marie Fleetwood, who also goes by Carrie M Fleetwood, Carrie Marie Fleetwood, was a registered financial professional .
Carrie is a previously registered financial professional and started their career in finance in 2011. Carrie had worked at 11 firms and has passed the Series 66, SIE and Series 7 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
March 27, 2025 - May 5, 2025
CADARET, GRANT & CO., INC.
February 8, 2021 - December 22, 2023
AMERIPRISE FINANCIAL SERVICES, LLC
April 14, 2020 - February 8, 2021
RIVERSOURCE DISTRIBUTORS, INC.
October 21, 2019 - December 10, 2019
RAYMOND JAMES FINANCIAL SERVICES, INC.
September 18, 2018 - October 22, 2019
AMERIPRISE FINANCIAL SERVICES, LLC
September 22, 2017 - September 6, 2018
MML INVESTORS SERVICES, LLC
February 29, 2016 - June 14, 2017
AMERIPRISE FINANCIAL SERVICES, LLC
September 22, 2015 - February 26, 2016
SANTANDER SECURITIES LLC
August 20, 2014 - August 24, 2015
OSAIC INSTITUTIONS, INC.
August 20, 2014 - August 24, 2015
OSAIC INSTITUTIONS, INC.
February 21, 2014 - August 7, 2014
CITIZENS SECURITIES, INC.
February 19, 2014 - August 7, 2014
CITIZENS SECURITIES, INC.
December 23, 2013 - January 22, 2014
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
December 23, 2013 - January 22, 2014
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
May 1, 2013 - November 15, 2013
WELLS FARGO CLEARING SERVICES, LLC
May 1, 2013 - November 15, 2013
WELLS FARGO CLEARING SERVICES, LLC
June 30, 2011 - July 25, 2011
MORGAN STANLEY
June 3, 2011 - July 25, 2011
MORGAN STANLEY
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
Current Firm
CADARET, GRANT & CO., INC.
CRD#: 10641 / SEC#: 801-42709, 8-27844
Contact information
FINRA licenses (4 States and Territories)
Regulatory assets under management
| Total Number of Accounts | 25,442 |
| AUM (Assets Under Management) | $ 7,671,069,034 |
Disclosures
| Regulatory Event | 17 |
| Arbitration | 4 |
Accountant surprise examination report
| Filing Date | Form ADV-E Cover | Form ADV-E Report |
|---|---|---|
| 10/14/2024 | ||
| 01/10/2024 | ||
| 12/14/2022 |
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.
