John T. Carroll
Professional summary
John Thomas Carroll III, who also goes by John Thomas Carroll, John Thomas III Carroll, is a registered financial professional currently at SEXTANT SECURITIES, LLC located in New York, New York.
John is registered as a RR (Registered Representative) and started their career in finance in 1991. John has worked at 6 firms and has passed the Series 63, Series 7TO, SIE, Series 7 and Series 24 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary) - BD
Click below to view John Thomas Carroll III's CRS (Customer Relationship Summary).
Certified licenses
Experience
November 22, 2024 - Present
SEXTANT SECURITIES, LLC
Office #1: 600 Madison Avenue 17th Floor, New York, NY, 10022November 11, 2009 - November 21, 2012
UBS SECURITIES LLC
January 7, 2009 - April 20, 2009
ALADDIN CAPITAL LLC
May 27, 2003 - June 3, 2008
BARCLAYS CAPITAL INC.
June 1, 1998 - May 28, 2003
MORGAN STANLEY & CO. LLC
October 25, 1991 - June 4, 1992
DISCOUNT CORPORATION OF NEW YORK
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
Visual representation of state registrations
(5/13/2025)
Exams
Series 7TO
Date: 11/21/2024
General Securities Representative ExaminationFINRA
Current Firm
SEXTANT SECURITIES, LLC
CRD#: 283937 / SEC#: , 8-69772
Contact information
FINRA licenses (53 States and Territories)
Documents
Red Flags
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