Donald M. 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.
Donald Matthew Carroll, who also goes by Don Carroll, Donald Mathew Carroll, Donald Matthew Carrolli, was a registered financial professional .
Donald is a previously registered financial professional and started their career in finance in 1995. Donald had worked at 8 firms and has passed the Series 63, SIE and Series 7 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
November 28, 2011 - January 2, 2025
R.M. STARK & CO., INC.
May 19, 2003 - November 28, 2011
INVESTORS CAPITAL CORP.
January 2, 2002 - May 16, 2003
OPPENHEIMER & CO. INC.
February 5, 2001 - January 2, 2002
JOSEPHTHAL & CO., INC.
July 22, 1997 - February 6, 2001
LABRANCHE FINANCIAL SERVICES, LLC
August 6, 1996 - July 25, 1997
LAIDLAW GLOBAL SECURITIES, INC.
June 17, 1996 - July 30, 1997
LADENBURG THALMANN & CO. INC.
January 26, 1995 - June 25, 1996
SANDS BROTHERS & CO., LTD.
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
R.M. STARK & CO., INC.
CRD#: 7612 / SEC#: , 8-22543
Contact information
FINRA licenses (45 States and Territories)
Direct owners and executive officers
Disclosures
| Regulatory Event | 4 |
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.
