Christopher Carolan (CRD #: 4402629), a broker registered with Kingswood Capital Partners in San Diego, California, is involved in a dispute regarding unauthorized trading, according to his BrokerCheck record, accessed on February 23, 2021. He is also a registered investment adviser with Dimensions Wealth Management.
On January 13, 2021, an investor alleged that Christopher Carolan engaged in unauthorized trading. The investor is seeking $56,463.30; the dispute is pending.
On July 3, 2008, an investor alleged that Christopher Carolan misrepresented a security as safe, liquid, and secure, while omitting material facts about the security. The dispute settled for $250,000.
Carolan has passed the Series 65 Uniform Investment Adviser Law Examination, the Series 63 Uniform Securities Agent State Law Examination, the Securities Industry Essentials Examination, the Series 31 Futures Managed Funds Examination, and the Series 7 General Securities Representative Examination. He is a registered broker in California and New York. He is also a registered investment adviser in California and Texas.
Christopher Carolan has at five different firms:
- Kingswood Capital Partners (CRD #: 288898)
- Dimensions Wealth Management (CRD #: 298928)
- Morgan Stanley (CRD #: 149777)
- Morgan Stanley (CRD #: 8209)
- A.G. Edwards & Sons (CRD #: 4)
If Christopher Carolan was your broker and you have questions about your investments, don’t hesitate to contact the securities attorneys of Fitapelli Kurta. Call (877) 238-4175 or email firstname.lastname@example.org for a free case consultation with a securities attorney.