John C. Carroll
Professional summary
Being a previously registered professional could mean that this person is no longer operating under the supervision of the SEC or FINRA.
That means that the Securities and Exchange Commission may not be able to oversee the services that this specific professional is providing.
John Canby Carroll was a registered financial professional .
John is a previously registered financial professional and started their career in finance in 1983. John had worked at 4 firms and has passed the Series 65, Series 63, Series 55, Series 7, Series 10 and Series 9 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
June 8, 2009 - December 1, 2020
SMITH CAPITAL MANAGEMENT INC
April 10, 1986 - September 11, 2008
STEPHENS
July 16, 1985 - January 14, 1986
CAPITAL RESOURCES, INC.
December 23, 1983 - July 17, 1985
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
State Registrations and Notice Filings
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Visual representation of state registrations
Exams
Series 55
Date: 4/23/1999
Limited Representative-Equity Trader ExamCurrent Firm
SMITH CAPITAL MANAGEMENT INC
CRD#: 104924 / SEC#: 801-21681
Contact information
Red Flags
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