Michael Carroll
Professional Summary
Michael Carroll, who also goes by Michael William Carroll, Michael Carroll, was a registered financial advisor. Michael was a previously registered financial professional and started their career in finance 1989 - 2024. Michael had worked at 10 firms and has passed the Series 65, Series 63, Series 7TO, SIE, Series 87, Series 86, Series 3, Series 7, Series 24, Series 27, Series 14, Series 4 and Series 8 exams.
At a Glance
Fiduciary Standard
Fee Structure
Account Minimum
Active Clients
Fiduciary Standard
Fee Structure
Account Minimum
Active Clients
Other Aliases
Michael William Carroll, Michael Carroll
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Videos & Posts
This advisor has not added any videos or posts yet.
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Contact Information
No current employment
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Disclosures are events reported to regulators, such as customer disputes, regulatory actions, employment separations, or financial events. Some are resolved, denied, or contested — a disclosure is not a verdict. We recommend asking an advisor directly about any disclosure on their record.
Disclosures on record.
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.
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Years of Experience
36 years in the financial services industry
Current & Past Employments
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Current Firm
VELOX CLEARING LLC
Contact Information
Main Address
600 Brickell Avenue Suite 2800, Miami, FL 33131Mailing Address
600 Brickell Avenue Suite 2800, Miami, FL 33131Phone Number
(866) 808-3569Established
Nevada since 08/09/2017Firm Type
Limited Liability CompanyFiscal Year End
DecemberFirm Size
SmallFINRA licenses (52 States and Territories)
Registered to provide investment advisory services in 0 US states and territories.
Direct owners and executive officers
Disclosures
Regulatory Event
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Other business activities
Outside business activity is any business or activity undertaken by an advisor that is outside the scope of their relationship with their firm (e.g., consulting services, real estate, freelance work, teaching, etc.). Investors should stay informed about these activities to ensure no conflicts of interest.
The advisor shows no other business activity.
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State Registrations and Notice Filings
Exams
Financial professionals may take different exams throughout their careers based on the types of services they provide and roles they perform.
Series 87 — Research Analyst Exam - Part II Regulations Module
Passed Jan 2005About the Series 87 examSeries 8 — General Securities Sales Supervisor Examination (Options Module & General Module)
Passed Feb 1994Similar Advisors
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CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.Similar Advisors
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