Carter W. Driscoll
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.
Carter William Driscoll was a registered financial professional .
Carter is a previously registered financial professional and started their career in finance in 1992. Carter had worked at 10 firms and has passed the Series 63, SIE, Series 87, Series 7 and Series 24 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
August 12, 2015 - March 21, 2019
B. RILEY SECURITIES, INC.
May 12, 2015 - August 26, 2015
H.C.WAINWRIGHT & CO., LLC
May 20, 2014 - March 26, 2015
MLV & CO. LLC
January 23, 2013 - June 16, 2014
ASCENDIANT CAPITAL MARKETS, LLC
April 14, 2009 - January 9, 2013
CAPSTONE INVESTMENTS
September 28, 2006 - May 6, 2008
STANFORD GROUP COMPANY
June 9, 2003 - July 12, 2005
INDEPENDENT RESEARCH GROUP LLC
March 27, 2001 - December 31, 2002
B. RILEY SECURITIES, INC.
November 21, 2000 - April 2, 2001
KAUFMAN BROS., L.P.
September 7, 1993 - August 28, 1995
CITIGROUP GLOBAL MARKETS INC.
July 31, 1992 - September 17, 1992
HIBBARD BROWN & CO., 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
B. RILEY SECURITIES, INC.
CRD#: 25027 / SEC#: , 8-41426
Contact information
FINRA licenses (53 States and Territories)
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| B. RILEY SECURITIES HOLDINGS, INC. | DIRECT PARENT | |
| BAKER, JAMES RICHARD | CO-CHIEF EXECUTIVE OFFICER | 5834046 |
| INNIS, KATHLEEN GIBBONS | CHIEF COMPLIANCE OFFICER | 2112837 |
| MCCOY, MICHAEL RICHARD | CHIEF FINANCIAL OFFICER | 4743031 |
| MOORE, ANDREW THOMAS | CO-CHIEF EXECUTIVE OFFICER | 4574997 |
| SCHUTT, JANELLE REGINA | CONTROLLER | 2853858 |
Disclosures
| Regulatory Event | 12 |
| Civil Event | 1 |
| Arbitration | 1 |
Red Flags
Disclosures can be potential red flags, including customer disputes, regulatory fines, employer terminations, bankruptcies, judgments, liens, or certain criminal activities.
Check for any disclosures as part of your thorough research when choosing an advisor.
