William S. 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.
William Singelton Carroll, who also goes by Bill S Carroll, Bill S. Carroll, Bill Carroll, William Singleton Carroll, was a registered financial professional .
William is a previously registered financial professional and started their career in finance in 1983. William had worked at 4 firms and has passed the Series 65, Series 63, SIE, Series 6 and Series 2 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
January 5, 2010 - February 22, 2019
DELAWARE CAPITAL MANAGEMENT ADVISERS, INC
January 5, 2010 - February 22, 2019
DELAWARE DISTRIBUTORS, L.P.
March 30, 2006 - December 31, 2009
LINCOLN FINANCIAL DISTRIBUTORS, INC.
December 31, 2000 - December 31, 2009
LINCOLN FINANCIAL DISTRIBUTORS, INC.
December 3, 1993 - December 31, 2000
DELAWARE DISTRIBUTORS, L.P.
November 1, 1983 - December 20, 1989
PUTNAM RETAIL MANAGEMENT LIMITED PARTNERSHIP
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
Visual representation of state registrations
Exams
Series 2
Date: 6/24/1992
Non-Member General Securities ExaminationCurrent Firm
DELAWARE CAPITAL MANAGEMENT ADVISERS, INC
CRD#: 152237 / SEC#: 801-70846
Contact information
Red Flags
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