Carolyn Clare Carty
Professional Summary
Carolyn Clare Carty, who also goes by Carolyn Clare Carty, Carolyn Carty, is a registered financial advisor currently at ASTORIA CAPITAL MARKETS, INC. located in Roslyn, New York and BROKERAGESELECT located in New York, New York. Carolyn is registered as a RR (Registered Representative) and started their career in finance in 1989. Carolyn has worked at 13 firms and has passed the Series 63, Series 99TO, SIE, Series 7, Series 27 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
Carolyn Clare Carty, Carolyn Carty
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Videos & Posts
This advisor has not added any videos or posts yet.
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Contact Information
This advisor has not claimed their profile yet, so there is no contact information to display at this time.
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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.
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Years of Experience
37 years in the financial services industry
Current & Past Employments
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Current Firm
BROKERAGESELECT | IDAYTRADE INC.
Contact Information
Main Address
364 West 117th Street Suite 5a, New York, NY 10026Mailing Address
364 West 117th Street Suite 5a, New York, NY 10026Phone Number
(917) 837-2287Established
New York since 04/22/1999Firm Type
CorporationFiscal Year End
DecemberFirm Size
SmallFINRA licenses (23 States and Territories)
Registered to provide investment advisory services in 0 US states and territories.
Direct owners and executive officers
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Other business activities
Information obtained from regulatory filings. Advisors can request corrections through their firm or regulator.
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 8 — General Securities Sales Supervisor Examination (Options Module & General Module)
Passed Oct 2000SRO Registrations
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CRS (Client Relationship Summary) - BD
Click below to view Carolyn Clare Carty's CRS (Customer Relationship Summary).
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