Michael 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.
Michael Carroll, who also goes by Michael William Carroll, Michael Carroll, was a registered financial professional .
Michael is a previously registered financial professional and started their career in finance in 1989. 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.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
June 12, 2023 - September 30, 2024
VELOX CLEARING LLC
August 11, 2011 - August 8, 2012
OBEX SECURITIES LLC
February 10, 2011 - April 18, 2011
ODEON CAPITAL GROUP LLC
November 18, 2005 - August 28, 2009
A.G.P. / ALLIANCE GLOBAL PARTNERS
March 26, 2003 - March 22, 2005
CONSTITUTION CAPITAL CORP.
June 8, 2000 - November 1, 2002
NATIONAL FINANCIAL SERVICES LLC
March 23, 1999 - April 17, 2000
MURIEL SIEBERT & CO., LLC
February 24, 1992 - March 22, 1999
TD AMERITRADE, INC.
December 19, 1989 - March 19, 1990
IDS LIFE INSURANCE COMPANY
December 19, 1989 - March 19, 1990
AMERIPRISE FINANCIAL SERVICES, LLC
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 7TO
Date: 5/10/2023
General Securities Representative ExaminationSeries 8
Date: 2/17/1994
General Securities Sales Supervisor Examination (Options Module & General Module)Current Firm
VELOX CLEARING LLC
CRD#: 290215 / SEC#: , 8-70017
Contact information
FINRA licenses (52 States and Territories)
Disclosures
| Regulatory Event | 3 |
Red Flags
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