Michael W. Carroll
Professional summary
Michael William Carroll is a registered financial professional currently at TD SECURITIES (USA) LLC located in New York, New York.
Michael is registered as a RR (Registered Representative) and started their career in finance in 1992. Michael has worked at 4 firms and has passed the Series 63, Series 11 and Series 7 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary) - BD
Click below to view Michael William Carroll's CRS (Customer Relationship Summary).
Certified licenses
Experience
May 4, 2010 - Present
TD SECURITIES (USA) LLC
Office #1: One Vanderbilt Avenue, New York, NY 10017May 31, 2002 - December 20, 2002
TD SECURITIES (USA) LLC
November 29, 2000 - March 9, 2001
HARRIS NESBITT CORP.
May 20, 1999 - October 25, 1999
HARRIS NESBITT CORP.
January 1, 1996 - July 31, 1997
CIBC WOOD GUNDY SECURITIES CORP.
June 19, 1992 - December 1, 1995
S.G. WARBURG & CO. 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 11
Date: 5/3/2010
Assistant Representative-Order Processing Qualification ExamFINRA
Nasdaq Stock Market
Current Firm
TD SECURITIES (USA) LLC
CRD#: 18476 / SEC#: , 8-36747
Contact information
FINRA licenses (52 States and Territories)
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| TORONTO DOMINION HOLDINGS (U.S.A.), INC. | PARENT | |
| BROADBERY, MICHAEL | CHIEF COMPLIANCE OFFICER | 6947899 |
| GIBSON, GLENN | CHIEF EXECUTIVE OFFICER | 5659024 |
| JENKINS, CHRISTINE J | FINANCIAL & OPERATIONS PRINCIPAL | 4911933 |
| ORTIZ, JORGE LUIS | CHIEF FINANCIAL OFFICER | 2725922 |
| PETROU, CHRISTINA A | CHIEF OPERATING OFFICER | 4007468 |
Disclosures
| Regulatory Event | 20 |
| Criminal | 1 |
Red Flags
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