Michelle Mollica 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.
Michelle Mollica Carroll, who also goes by Michelle Mollica, was a registered financial professional .
Michelle is a previously registered financial professional and started their career in finance in 1999. Michelle had worked at 7 firms and has passed the Series 63, Series 7, Series 4 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
September 23, 2013 - September 15, 2014
ROCKWELL GLOBAL CAPITAL LLC
September 8, 2010 - September 24, 2013
MCBARRON CAPITAL LLC
July 25, 2007 - September 10, 2010
INTERMERCHANT SECURITIES LLC
February 26, 2007 - August 23, 2007
ANDREW GARRETT INC.
March 8, 2004 - February 28, 2007
S.W. BACH & COMPANY
December 10, 2003 - February 12, 2004
NATIONAL SECURITIES CORPORATION
October 23, 2000 - October 31, 2003
S.W. BACH & COMPANY
May 3, 1999 - November 14, 2000
LADENBURG THALMANN & CO. INC.
State Registrations and Notice Filings
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Exams
Current Firm
ROCKWELL GLOBAL CAPITAL LLC
CRD#: 142485 / SEC#: , 8-67467
Contact information
Documents
Disclosures
| Regulatory Event | 1 |
| Arbitration | 7 |
Red Flags
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