Carol Ann Shortall
Professional Summary
Carol Ann Shortall, who also goes by Carol Ann Shortall, Carol Shortall, is a registered financial advisor currently at ARBOR RESEARCH & TRADING, LLC located in Lake Barrington, Illinois and BARRAMUNDI CAPITAL LLC located in Boca Raton, Florida. Carol is registered as a RR (Registered Representative) and started their career in finance in 1994. Carol has worked at 28 firms and has passed the Series 66, Series 63, Series 79TO, Series 99TO, SIE, Series 7,...
At a Glance
Fiduciary Standard
Fee Structure
Account Minimum
Active Clients
Fiduciary Standard
Fee Structure
Account Minimum
Active Clients
Other Aliases
Carol Ann Shortall, Carol Shortall
Similar Advisors
THE DALA GROUP, LLC
ONEAMERICA SECURITIES, INC.
Videos & Posts
This advisor has not added any videos or posts yet.
Similar Advisors
THE DALA GROUP, LLC
ONEAMERICA SECURITIES, INC.
Contact Information
This advisor has not claimed their profile yet, so there is no contact information to display at this time.
Similar Advisors
THE DALA GROUP, LLC
ONEAMERICA SECURITIES, INC.
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.
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.
Similar Advisors
THE DALA GROUP, LLC
ONEAMERICA SECURITIES, INC.
Years of Experience
32 years in the financial services industry
Current & Past Employments
Similar Advisors
THE DALA GROUP, LLC
ONEAMERICA SECURITIES, INC.
Current Firm
BEEHIVE TRADING, LLC
Contact Information
Main Address
25 Broadway 10 Th Fl, Suite 1046, New York, NY 10004Mailing Address
25 Broadway 10 Th Fl, Suite 1046, New York, NY 10004Phone Number
(332) 262-7226Established
Delaware since 08/04/2023Firm Type
Limited Liability CompanyFiscal Year End
DecemberFirm Size
SmallFINRA licenses (1 States and Territories)
Registered to provide investment advisory services in 0 US states and territories.
Documents
Direct owners and executive officers
Similar Advisors
THE DALA GROUP, LLC
ONEAMERICA SECURITIES, INC.
Other business activities
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.
Similar Advisors
THE DALA GROUP, LLC
ONEAMERICA SECURITIES, INC.
State Registrations and Notice Filings
(9/8/2023)
(5/13/2011)
(9/11/2023)
Exams
Financial professionals may take different exams throughout their careers based on the types of services they provide and roles they perform.
Series 79TO — Investment Banking Registered Representative Examination
Passed Jan 2023About the Series 79TO examSeries 28 — Introducing Broker/Dealer Financial Operations Principal Examination
Passed Jan 2005About the Series 28 examSRO Registrations
Similar Advisors
THE DALA GROUP, LLC
ONEAMERICA SECURITIES, INC.
CRS (Client Relationship Summary) - BD
Click below to view Carol Ann Shortall's CRS (Customer Relationship Summary).
Similar Advisors
THE DALA GROUP, LLC
ONEAMERICA SECURITIES, INC.
