Carol Otters

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Current Employers

Edward Jones

12555 Manchester Rd, St. Louis, MO 63131 • United States

Current Registrations

Authority	Category	Status	Date
TX	RA	APPROVED_RES	2014-08-26
CA	RA	APPROVED	2011-11-28

TX RA
APPROVED_RES

Since 2014-08-26
CA RA
APPROVED

Since 2011-11-28

Branch Locations

6 Centerpointe Dr Ste 780, La Palma, CA 90623-2537 • United States

Lakewood, CA • United States

Disclosures

No disclosure categories reported as “Yes” on this SEC record.

Regulatory action No
Criminal No
Bankruptcy No
Civil judicial No
Bond No
Judgment / lien No
Investigation No
Customer complaint No
Termination No

Employment History

Organization	City	State	From	To
Edward Jones	St. Louis	MO	07/2011	Present

07/2011 → Present

Edward Jones

St. Louis, MO

Exams

Code	Exam	Date
S66	Uniform Combined State Law Examination	2011-08-30

S66 Uniform Combined State Law Examination

2011-08-30

Other Names

Carol Otters
Carol Hunt
Carol Ann Hunt

View on SEC IAPD

Other Firms

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

ASCENDANT CAPITAL MANAGEMENT

EQUITABLE ADVISORS, LLC

J.P. MORGAN SECURITIES LLC

TRANSAMERICA FINANCIAL ADVISORS, LLC

WELLS FARGO CLEARING SERVICES, LLC

STATE FARM INVESTMENT MANAGEMENT CORP.

LPL FINANCIAL LLC

Other Investors

Miguel Sotelo Jaime

CARLOS EDUARDO SALAZAR RAMIREZ

CHARLES LAWRENCE ARMENDAREZ

Kenneth Mark Whittenbury

Other Offices

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED · LA PALMA, CA

ASCENDANT CAPITAL MANAGEMENT · LA PALMA, CA

EQUITABLE ADVISORS, LLC · LA PALMA, CA

J.P. MORGAN SECURITIES LLC · BUENA PARK, CA

TRANSAMERICA FINANCIAL ADVISORS, LLC · Buena Park, CA

WELLS FARGO CLEARING SERVICES, LLC · CERRITOS, CA

STATE FARM INVESTMENT MANAGEMENT CORP. · LA PALMA, CA

J.P. MORGAN SECURITIES LLC · CERRITOS, CA

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