Thomas F. 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.
Thomas Frederick Carroll JR, who also goes by Rick Carroll, Thomas Frederick Jr Carroll, was a registered financial professional .
Thomas is a previously registered financial professional and started their career in finance in 1991. Thomas had worked at 7 firms and has passed the Series 63, Series 65, SIE and Series 7 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
January 23, 2018 - February 1, 2019
TOBIN & COMPANY SECURITIES LLC
January 2, 2013 - January 5, 2016
BB&T SECURITIES, LLC
March 5, 1999 - January 2, 2013
SCOTT & STRINGFELLOW, LLC
February 2, 1998 - January 14, 1999
FIRST UNION CAPITAL MARKETS CORP.
January 8, 1998 - February 2, 1998
FIRST UNION CAPITAL MARKETS CORP.
February 8, 1996 - April 27, 1998
FIRST UNION BROKERAGE SERVICES, INC.
March 1, 1993 - February 9, 1996
FIRST UNION CAPITAL MARKETS CORP.
January 29, 1991 - February 3, 1993
CITIGROUP GLOBAL MARKETS 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
Current Firm
TOBIN & COMPANY SECURITIES LLC
CRD#: 137918 / SEC#: , 8-67134
Contact information
FINRA licenses (53 States and Territories)
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| TOBIN & COMPANY INVESTMENT BANKING GROUP LLC | PARENT COMPANY | |
| TOBIN, JUSTINE EIDT | CHIEF COMPLIANCE OFFICER | 1641345 |
Red Flags
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