Carolyn C. Carty
Professional summary
Carolyn Clare Carty, who also goes by Carolyn Clare Carty, Carolyn Carty, is a registered financial professional currently at ASTORIA CAPITAL MARKETS, INC. located in Mineola, 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.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary) - BD
Click below to view Carolyn Clare Carty's CRS (Customer Relationship Summary).
Certified licenses
Experience
December 1, 1998 - Present
ASTORIA CAPITAL MARKETS, INC.
Office #1: 344a Willis Ave, Mineola, NY 11501March 23, 2000 - Present
BROKERAGESELECT
Office #1: 364 West 117th Street; Suite 5a, New York, NY 10026October 21, 2011 - August 13, 2014
NORTH SEA SECURITIES L.P.
July 12, 2011 - November 2, 2020
KEDEM CAPITAL CORPORATION
July 11, 2011 - February 7, 2018
GP NURMENKARI INC.
August 11, 2005 - November 9, 2018
IMPACTU.INVESTMENTS, LLC
October 1, 2000 - December 21, 2001
MATTHEW J. MURRAY SECURITIES, INC.
July 29, 1998 - November 9, 1998
ORION FINANCIAL SERVICES, LLC
May 20, 1997 - November 16, 1998
SPENCER CLARKE LLC
September 3, 1996 - April 27, 2001
HARVEST CAPITAL INVESTMENTS LLC
December 5, 1994 - January 9, 2002
SVR SECURITIES, INC.
October 8, 1991 - May 17, 1994
SLOATE, WEISMAN, MURRAY & COMPANY, INC.
July 28, 1989 - June 10, 1991
DX SECURITIES, 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 99TO
Date: 1/2/2023
Operations Professional ExaminationSeries 8
Date: 10/1/2000
General Securities Sales Supervisor Examination (Options Module & General Module)FINRA
Current Firm
BROKERAGESELECT
CRD#: 47974 / SEC#: , 8-51996
Contact information
FINRA licenses (23 States and Territories)
Red Flags
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