Carol A. Shortall
Professional summary
Carol Ann Shortall, who also goes by Carol Ann Shortall, Carol Shortall, is a registered financial professional 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 26 firms and has passed the Series 66, Series 63, Series 79TO, Series 99TO, SIE, Series 7, Series 24 and Series 28 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary) - BD
Click below to view Carol Ann Shortall's CRS (Customer Relationship Summary).
Certified licenses
Experience
May 13, 2011 - Present
ARBOR RESEARCH & TRADING, LLC
Office #1: 22333 Classic Court, Lake Barrington, IL 60010September 8, 2023 - Present
BARRAMUNDI CAPITAL LLC
Office #1: 751 Park Of Commerce Drive Suite 128, Boca Raton, FL 33487April 2, 2025 - Present
WILLIAM J. MAYER SECURITIES, LLC
Office #1: 2 Greenwich Office Park Suite 160, Greenwich, CT 06831June 22, 2025 - Present
COLLECTABLE SECURITIES
Office #1: 1201 Broadway Ste 301, New York, NY 10001June 27, 2025 - Present
CAPTIVEX SECURITIES LLC
Office #1: 2431 Aloma Avenue Suite 144, Winter Park, FL 32792October 22, 2024 - March 24, 2025
MSEC, LLC
November 7, 2023 - November 20, 2023
CAPE SECURITIES INC.
February 21, 2023 - January 31, 2025
WEALTH SPACE ASSET MANAGEMENT
August 23, 2022 - November 9, 2022
FIRST ASSET FINANCIAL INC.
June 21, 2022 - August 30, 2022
BARRAMUNDI CAPITAL LLC
July 6, 2020 - December 17, 2021
STOCK SECURITIES LLC
March 8, 2019 - August 20, 2020
MERION SQUARE CAPITAL LLC
January 30, 2019 - July 1, 2019
PHOENIX IB
November 20, 2017 - May 4, 2018
REALTA EQUITIES, INC.
October 20, 2017 - September 23, 2023
CANDEAL SECURITIES, LLC
March 15, 2017 - June 30, 2017
GREENTREE BROKERAGE SERVICES, INC.
May 7, 2014 - January 2, 2015
MCDERMOTT INVESTMENT ADVISORS, LLC
January 13, 2014 - February 4, 2014
WNJ CAPITAL, INC.
August 1, 2012 - December 31, 2014
MCDERMOTT INVESTMENT SERVICES, LLC
April 26, 2010 - January 21, 2011
DE GUARDIOLA ADVISORS, LLC
February 23, 2010 - November 8, 2010
TAYLOR FINANCIAL SERVICES, LLC
March 5, 2009 - April 15, 2009
INTELLIGENT EDGE SECURITIES, LLC
December 18, 2008 - February 3, 2010
TAYLOR FINANCIAL SERVICES, LLC
July 11, 2008 - September 17, 2008
IFS SECURITIES
September 12, 2005 - August 22, 2006
MANAGED ACCOUNT SERVICES, LLC
April 11, 2005 - August 22, 2005
SECURITIES AMERICA, INC.
January 11, 2005 - March 24, 2005
GRANT WILLIAMS L.P.
February 17, 1994 - January 14, 1998
FIRST UNION CAPITAL MARKETS CORP.
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
Visual representation of state registrations
(9/8/2023)
(5/13/2011)
(9/11/2023)
Exams
Series 79TO
Date: 1/2/2023
Investment Banking Registered Representative ExaminationSeries 99TO
Date: 1/2/2023
Operations Professional ExaminationSeries 28
Date: 1/10/2005
Introducing Broker/Dealer Financial Operations Principal ExaminationFINRA
Current Firm
CAPTIVEX SECURITIES LLC
CRD#: 332134 / SEC#: , 8-71257
Contact information
FINRA licenses (13 States and Territories)
Red Flags
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Company Information
CAPTIVEX SECURITIES LLC
CRD#: 332134Lake Barrington, IL 60010TRUST BUT VERIFY
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