Thomas K. Carroll
Professional summary
Thomas Kane Carroll is a registered financial professional currently at FIRST BROKERS SECURITIES LLC located in Jersey City, New Jersey.
Thomas is registered as a RR (Registered Representative) and started their career in finance in 1984. Thomas has worked at 6 firms and has passed the Series 63, SIE and Series 7 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary) - BD
Click below to view Thomas Kane Carroll's CRS (Customer Relationship Summary).
Certified licenses
Experience
November 30, 1994 - Present
FIRST BROKERS SECURITIES LLC
Office #1: Harborside 5 185 Hudson Street, Suite 1500, Jersey City, NJ 07311Office #2: Harborside 5 185 Hudson Street, Suite 1500, Jersey City, NJ 07311April 7, 1994 - December 1, 1994
MCFADDEN, FARRELL & SMITH, L.P.
March 12, 1991 - February 18, 1994
W.A. CAPITAL MARKETS
April 23, 1990 - January 10, 1991
MINT BROKERS
July 19, 1985 - April 23, 1990
GINTELCO, INC.
November 21, 1984 - June 29, 1985
GINTEL & CO., LLC
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
Visual representation of state registrations
(5/27/2003)
(11/30/1994)
Exams
FINRA
Nasdaq Stock Market
Current Firm
FIRST BROKERS SECURITIES LLC
CRD#: 27369 / SEC#: , 8-43035
Contact information
FINRA licenses (7 States and Territories)
Direct owners and executive officers
Disclosures
| Regulatory Event | 3 |
Red Flags
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