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Detailed Report
CAROLYN MARIE ANDREWS
CAROLYN MARIE MARTINEZ
CRD#: 4121976
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Previous Investment Adviser
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Previous Broker
BARRED BY FINRA OR THE SEC
FINRA has barred this individual from acting as a broker or otherwise associating with a broker-dealer firm.
The representative was previously registered both as an investment adviser and as a broker. Visit BrokerCheck for more information on this individual's Broker record. Go to BrokerCheck Site
Registration History
20072008200920102011201220132014201520162017201820192020IAUBS FINANCIAL SERVICES INC. (CRD# 8174)2012 - 2018 (6 years)IAMORGAN KEEGAN & COMPANY, INC. (CRD# 4161)2008 - 2012 (4 years)IASTANFORD GROUP COMPANY (CRD# 39285)2007 - 2008 (<1 year)
Disclosure(s)
View By:
3/13/2019
Regulatory
Final
10/11/2018
Employment Separation After Allegations
Previous Registration(s)
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 09/05/2012 - 11/05/2018 UBS FINANCIAL SERVICES INC. (CRD#:8174) HOUSTON, TX
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 09/29/2008 - 09/06/2012 MORGAN KEEGAN & COMPANY, INC. (CRD#:4161) HOUSTON, TX
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 10/24/2007 - 06/11/2008 STANFORD GROUP COMPANY (CRD#:39285) HOUSTON, TX
For additional information about investment advisers or broker-dealers, please visit
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Broker
A brokerage firm, also called a broker-dealer, is in the business of buying and selling securities – stocks, bonds, mutual funds, and certain other investment products – on behalf of its customer (as broker), for its own bank (dealer), or both. Individuals who work for broker-dealers - the sales personnel are commonly referred to as brokers.
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Investment Adviser
An investment adviser is paid for providing advice about securities to clients. In addition, some investment advisers manage investment portfolios and offer financial planning services.
Disclosures
Disclosures can be customer complaints or arbitrations, regulatory actions, employment terminations, bankruptcy filings and certain civil or criminal proceedings that they were a part of.