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Detailed Report
CARRIE LIND
CARRIE HANEY
CRD#: 5920327
IA
Investment Adviser
B
Broker
RAYMOND JAMES & ASSOCIATES, INC.CRD#: 705 120 S Riverside Plaza
Suite 700
Chicago, IL 60606
Registration History
201220142016201820202022202420262 FIRMS2014 - 2015 (<1 year)2 FIRMS2015 - Present (9 years)BMETLIFE SECURITIES INC. (CRD# 14251)2011 - 2014 (3 years)IAMETLIFE SECURITIES INC. (CRD# 14251)2012 - 2014 (2 years)
License(s)

State Registrations

B
Alabama 1/26/2024
B
Nevada 12/18/2023
B
Arizona 8/12/2021
B
New Hampshire 1/5/2022
B
Arkansas 10/28/2024
B
New Mexico 2/22/2022
B
California 11/15/2021
B
North Carolina 3/9/2023
B
Colorado 10/15/2018
B
Oregon 8/19/2022
B
Florida 2/14/2020
B
Rhode Island 11/25/2024
B
Georgia 2/22/2021
B
South Carolina 11/7/2023
B
Illinois 9/11/2015
B
Tennessee 5/18/2021
IA
Illinois 9/11/2015
B
Texas 2/14/2020
B
Indiana 9/7/2024
IA
Texas 3/9/2020
B
Maryland 1/12/2022
B
Vermont 6/13/2022
B
Massachusetts 5/3/2021
B
Virginia 2/5/2021
B
Michigan 1/9/2018
B
Wisconsin 12/8/2022

SRO Registrations

B
 FINRA
B
 NYSE American LLC
B
 Nasdaq PHLX LLC
B
 Nasdaq Stock Market
B
 New York Stock Exchange

View Exams Passed by the individual in the detailed report

Learn about permitted activities of registered representatives

Learn about permitted activities of registered principals

Not all jurisdictions require IAR registration or may have an exemption from registration.
Current Registration(s)
IA
RAYMOND JAMES & ASSOCIATES, INC. (CRD#:705)
120 S Riverside Plaza Suite 700, Chicago, IL 60606
Lake Zurich, IL
Registered with this firm since 9/11/2015
B
RAYMOND JAMES & ASSOCIATES, INC. (CRD#:705)
120 S Riverside Plaza Suite 700, Chicago, IL 60606
Lake Zurich, IL
Registered with this firm since 9/11/2015
Previous Registration(s)
th hidden textth hidden textNameLocation
IA
 12/02/2014 - 09/11/2015 STIFEL, NICOLAUS & COMPANY, INCORPORATED (CRD#:793) CHICAGO, IL
B
 12/02/2014 - 09/11/2015 STIFEL, NICOLAUS & COMPANY, INCORPORATED (CRD#:793) CHICAGO, IL
IA
 09/18/2012 - 12/08/2014 METLIFE SECURITIES INC. (CRD#:14251) DOWNERS GROVE, IL
B
 06/15/2011 - 12/08/2014 METLIFE SECURITIES INC. (CRD#:14251) DOWNERS GROVE, IL
For additional information about investment advisers or broker-dealers, please visit
www.investor.gov
B
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.
IA
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.