Carol Greenwald has been President/CCO of Potomac Investment since October 1983, is a control person of the firm and directly owns 75% or more of it.
Potomac Investment Company is a firm with $107M under management, 33 clients and 2 advisers across 2 offices, as of its August 2026 filing.
Investment adviser representative registrations
Carol Greenwald is registered as an investment adviser representative in 4 states. The first approvals date from January 2002; the most recent is Maryland, in February 2022.
- District of ColumbiaSince 4 November 2003
- FloridaSince 2 March 2021
- MarylandSince 15 February 2022
- MassachusettsSince 6 January 2002
Examinations
| Exam | Name | Passed |
|---|---|---|
| Series 52TO | Municipal Securities Representative Examination | 25 September 2025 |
| Series 14 | Compliance Officer Examination | 2 January 2023 |
| Series 99TO | Operations Professional Examination | 2 January 2023 |
| SIE | Securities Industry Essentials Examination | Credited |
| Series 65 | Uniform Investment Adviser Law Examination | 8 July 1994 |
| Series 53 | Municipal Securities Principal Examination | 21 April 1988 |
| Series 24 | General Securities Principal Examination | 19 July 1985 |
| Series 7 | General Securities Representative Examination | 18 May 1985 |
| Series 39 | Direct Participation Programs Principal Examination | 29 November 1983 |
| Series 63 | Uniform Securities Agent State Law Examination | 14 November 1983 |
| Series 22 | Direct Participation Programs Representative Examination | 1 November 1983 |
- Name
- Municipal Securities Representative Examination
- Name
- Compliance Officer Examination
- Name
- Operations Professional Examination
- Name
- Securities Industry Essentials Examination
- Name
- Uniform Investment Adviser Law Examination
- Name
- Municipal Securities Principal Examination
- Name
- General Securities Principal Examination
- Name
- General Securities Representative Examination
- Name
- Direct Participation Programs Principal Examination
- Name
- Uniform Securities Agent State Law Examination
- Name
- Direct Participation Programs Representative Examination
- Full name
- Carol Schwartz Greenwald
- CRD
- 1207586
- Firm
- Potomac Investment · CRD 14553
- Role
- President/CCO
- Registration
- Investment adviser and broker registrations
- In the industry since
- November 1983
- Disciplinary history
- Not yet shown here · SEC record · BrokerCheck
Where does Carol Greenwald work?
Carol Greenwald has been President/CCO of Potomac Investment Company since October 1983, and is a control person of the firm.
Is Carol Greenwald a financial advisor?
Yes. Carol Greenwald has a current investment-adviser registration in District of Columbia, Florida, Maryland and Massachusetts, through Potomac Investment since January 2002.
How many years of experience does Carol Greenwald have?
Carol Greenwald has 42 years in the financial industry, since November 1983, across 1 adviser firm.
What exams has Carol Greenwald passed?
Carol Greenwald has passed 10 licensing exams: the Series 22, Series 63, Series 39, Series 7, Series 24, Series 53, Series 65, Series 14, Series 99TO and Series 52TO. The earliest, the Series 22, was passed in November 1983. FINRA credited Carol Greenwald with the SIE, which began in October 2018.
Is Carol Greenwald registered with FINRA?
Yes. Carol Greenwald has a current broker registration, under CRD 1207586.
Source: FINRA BrokerCheck
How can I verify Carol Greenwald’s record?
Search CRD 1207586 on the SEC’s adviser search (adviserinfo.sec.gov) and FINRA’s broker search (brokercheck.finra.org), which publish Carol Greenwald’s full registration record.