Deirdre E. 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.
Deirdre Elizabeth Carroll, who also goes by Deidre Elizabeth Carroll, Deirdre E Kenny, Deirdre Elizabeth Kenny, was a registered financial professional .
Deirdre is a previously registered financial professional and started their career in finance in 1994. Deirdre had worked at 10 firms and has passed the Series 63, Series 65, SIE, Series 7, Series 6 and Series 26 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
August 21, 2020 - January 26, 2022
FIDELITY BROKERAGE SERVICES LLC
November 23, 2015 - January 17, 2019
T. ROWE PRICE INVESTMENT SERVICES, INC.
May 7, 2014 - June 3, 2014
ENVOY SECURITIES, LLC
October 5, 2010 - May 31, 2011
PROFUNDS DISTRIBUTORS, INC.
January 24, 2006 - May 20, 2010
U. S. BOSTON CAPITAL CORPORATION
July 9, 2004 - December 5, 2005
CAPITAL ADVISORS GROUP, INC
October 7, 2002 - May 6, 2003
SIGNATOR INVESTORS, INC.
December 5, 2000 - May 2, 2002
STATE STREET GLOBAL ADVISORS FUNDS DISTRIBUTORS, LLC
January 15, 1999 - November 10, 2000
NATIXIS DISTRIBUTION, LLC
January 15, 1997 - December 23, 1998
JOHN HANCOCK INVESTMENT MANAGEMENT DISTRIBUTORS LLC
September 29, 1994 - October 17, 1995
SIGNATOR INVESTORS, INC.
September 29, 1994 - October 25, 1996
JOHN HANCOCK INVESTMENT MANAGEMENT DISTRIBUTORS LLC
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
FIDELITY BROKERAGE SERVICES LLC
CRD#: 7784 / SEC#: , 8-23292
Contact information
FINRA licenses (53 States and Territories)
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| FIDELITY GLOBAL BROKERAGE GROUP, INC. | MEMBER | |
| BRANDNER, CLINT RYAN | CHIEF OPERATIONS OFFICER | 7209362 |
| CENATIEMPO, PHILIP J | HEAD OF STRATEGY, PLANNING & ADVICE | 4809405 |
| DYER, JANET MARIE | CO - CHIEF COMPLIANCE OFFICER | 3186352 |
| MAHNA, ROHIT | HEAD OF CLIENT GROWTH | 4078386 |
| MASCIALINO, ROBERT RAYMOND | PRESIDENT/CEO/DIRECTOR | 2078086 |
| MCLAUGHLIN, KEVIN MICHAEL | CHIEF FINANCIAL OFFICER | 5392417 |
| MERKEN, GAIL RACHEL | CHIEF COMPLIANCE OFFICER | 5546717 |
| PETERSON, PAUL DAVID | HEAD OF INVESTMENT ADVISOR GROUP | 2387115 |
| STURDY, CHARLES HANCOCK | SECRETARY AND GENERAL COUNSEL |
Disclosures
| Regulatory Event | 23 |
| Arbitration | 124 |
Red Flags
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