Christopher J. 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.
Christopher John Carroll, who also goes by Chris Carroll, was a registered financial professional .
Christopher is a previously registered financial professional and started their career in finance in 1986. Christopher had worked at 9 firms and has passed the Series 63, Series 99TO, Series 57TO, Series 62, SIE, Series 55, Series 7, Series 3, Series 14, Series 27, Series 4, Series 24 and Series 12 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
February 23, 2023 - March 22, 2025
777 SECURITIES
November 30, 2004 - August 13, 2021
AGENCY DESK, LLC
September 13, 2002 - April 29, 2004
LEHMAN BROTHERS INC.
June 6, 1996 - October 20, 2000
DEUTSCHE BANK SECURITIES INC.
September 3, 1993 - May 8, 1996
NOMURA SECURITIES INTERNATIONAL, INC.
March 26, 1992 - September 7, 1993
YAMAICHI INTERNATIONAL (AMERICA) INC.
March 22, 1991 - October 11, 1991
MERRILL LYNCH GOVERNMENT SECURITIES INC.
July 28, 1989 - October 3, 1991
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
September 26, 1986 - April 14, 1989
KIDDER, PEABODY & CO. INCORPORATED
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 99TO
Date: 1/2/2023
Operations Professional ExaminationSeries 57TO
Date: 1/2/2023
Securities Trader ExamSeries 62
Date: 1/2/2023
Corporate Securities Limited Representative ExaminationSeries 55
Date: 11/15/2004
Limited Representative-Equity Trader ExamSeries 12
Date: 4/24/1995
NYSE Branch Manager ExaminationCurrent Firm
777 SECURITIES
CRD#: 288294 / SEC#: , 8-69935
Contact information
FINRA licenses (3 States and Territories)
Red Flags
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