Oran 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.
Oran Ben Carroll was a registered financial advisor .
Oran is a previously registered financial advisor and started their career in finance in 1984. Oran had worked at 7 firms and has passed the Series 65, Series 63, Series 7, Series 28, Series 4, Series 24 and Series 26 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
January 11, 2002 - February 19, 2013
ONYX WEALTH ADVISORS, INC.
January 11, 2002 - December 31, 2011
CAMBRIDGE LEGACY SECURITIES L.L.C.
January 17, 2001 - April 1, 2002
RUSHMORE SECURITIES CORPORATION
June 11, 1998 - February 26, 2001
NORTHSTAR SECURITIES, INC.
January 20, 1996 - December 9, 1998
DOMINION CAPITAL CORPORATION
January 2, 1992 - January 8, 1996
PFS INVESTMENTS INC.
April 18, 1991 - November 25, 1991
DOMINION CAPITAL CORPORATION
August 22, 1984 - September 10, 1987
MORGAN STANLEY DW INC.
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 28
Date: 8/13/2003
Introducing Broker/Dealer Financial Operations Principal ExaminationCurrent Firm
ONYX WEALTH ADVISORS, INC.
CRD#: 119558 / SEC#: 801-64117
Contact information
Red Flags
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