Eugene B. 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.
Eugene Bernard Carroll JR, who also goes by Eugene Bernard Carroll, Gene Carroll Jr, Jr Eugene Bernard Carroll, was a registered financial professional .
Eugene is a previously registered financial professional and started their career in finance in 1988. Eugene had worked at 9 firms and has passed the SIE and Series 6 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
February 14, 2014 - February 12, 2016
INDEPENDENCE CAPITAL CO., INC.
February 13, 2014 - February 12, 2016
INDEPENDENCE CAPITAL CO., INC.
January 13, 2009 - February 18, 2014
GWN SECURITIES INC.
January 8, 2009 - February 18, 2014
GWN SECURITIES INC.
February 7, 2005 - January 8, 2009
PLANMEMBER SECURITIES CORPORATION
February 2, 2005 - January 8, 2009
PLANMEMBER SECURITIES CORPORATION
July 17, 2001 - January 31, 2005
PMG ASSET MANAGEMENT INC
July 3, 2001 - January 31, 2005
PMG SECURITIES CORPORATION
April 3, 2000 - July 2, 2001
NEW ENGLAND SECURITIES
June 29, 1998 - May 16, 2000
LINCOLN INVESTMENT
August 25, 1993 - June 30, 1998
SECURITIES AMERICA, INC.
May 13, 1992 - March 15, 1993
SIGNATOR FINANCIAL SERVICES, INC.
April 5, 1988 - December 18, 1991
NEW ENGLAND SECURITIES
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
Current Firm
INDEPENDENCE CAPITAL CO., INC.
CRD#: 24723 / SEC#: , 8-41331
Contact information
FINRA licenses (38 States and Territories)
Regulatory assets under management
| Total Number of Accounts | 295 |
| AUM (Assets Under Management) | $ 99,922,105 |
Disclosures
| Regulatory Event | 3 |
Red Flags
Disclosures can be potential red flags, including customer disputes, regulatory fines, employer terminations, bankruptcies, judgments, liens, or certain criminal activities.
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