James G. 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.
James Gerard Carroll, who also goes by James Gerared Carroll, was a registered financial professional .
James is a previously registered financial professional and started their career in finance in 1985. James had worked at 16 firms and has passed the Series 63, Series 7 and Series 24 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
May 4, 1999 - October 19, 1999
DIRKS & COMPANY, INC.
June 24, 1998 - April 12, 1999
ARJENT LTD.
October 9, 1995 - June 11, 1998
BLUESTONE CAPITAL CORP.
April 10, 1995 - September 18, 1995
BARRON CHASE SECURITIES, INC.
February 3, 1995 - March 24, 1995
THE HIGHLAND CAPITAL GROUP, INC.
May 13, 1994 - October 7, 1994
MEYERS POLLOCK ROBBINS, INC.
February 24, 1993 - June 8, 1994
CAMELOT INVESTMENT CORP.
August 17, 1992 - December 17, 1992
FIRST AMERICAN BILTMORE SECURITIES, INC.
April 22, 1992 - July 29, 1992
BROOKLYN CAPITAL & SECURITIES TRADING, INC.
December 11, 1991 - April 22, 1992
JOHNSON, MCKENNEY,CARR & COMPANY INCORPORATED
September 20, 1991 - November 26, 1991
FULTON FERRACUTE CAPITAL CORP, INC.
June 26, 1991 - March 24, 1992
HASAN GROWNEY CO. INC.
March 14, 1989 - April 2, 1990
VANDERBILT SECURITIES, INC.
January 20, 1989 - February 27, 1989
POWER SECURITIES CORPORATION
January 27, 1987 - January 25, 1989
ALLIED CAPITAL GROUP, INC.
April 23, 1985 - March 4, 1987
BROOKS WEINGER ROBBINS & LEEDS 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
Current Firm
DIRKS & COMPANY, INC.
CRD#: 42185 / SEC#: , 8-49735
Contact information
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| DIRKS, JESSY LILLY | CEO | 711347 |
| LOPEZ, DIEGO | OTC TRADER CROP./SROP |
Disclosures
| Regulatory Event | 6 |
| Arbitration | 3 |
Red Flags
Disclosures can be potential red flags, including customer disputes, regulatory fines, employer terminations, bankruptcies, judgments, liens, or certain criminal activities.
Check for any disclosures as part of your thorough research when choosing an advisor.
