David J. Carroll
Professional summary
David J Carroll, who also goes by David Joseph Carroll, is a registered financial professional currently at PARALEL DISTRIBUTORS located in New York, New York.
David is registered as a RR (Registered Representative) and started their career in finance in 1995. David has worked at 7 firms and has passed the Series 63, SIE, Series 55, Series 21, Series 25 and Series 7 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary) - BD
Click below to view David J Carroll's CRS (Customer Relationship Summary).
Certified licenses
Experience
October 4, 2022 - Present
PARALEL DISTRIBUTORS
Office #1: 645 Fifth Avenue Suite 1201, New York, NY 10022July 27, 2009 - September 30, 2022
ALPS DISTRIBUTORS, INC.
December 11, 2007 - June 10, 2008
J.P. MORGAN SECURITIES LLC
May 16, 2003 - November 30, 2007
BEAR HUNTER STRUCTURED PRODUCTS LLC
April 23, 2001 - May 15, 2003
BEAR WAGNER SPECIALISTS LLC
April 22, 1996 - April 23, 2001
WSM HOLDINGS, L.L.C.
April 25, 1995 - October 9, 1995
L.C. WEGARD & 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
(10/4/2022)
(10/4/2022)
(10/4/2022)
(10/4/2022)
(10/4/2022)
(10/4/2022)
(10/4/2022)
(10/4/2022)
(10/4/2022)
(10/4/2022)
(10/4/2022)
(10/4/2022)
(10/4/2022)
(10/4/2022)
(10/4/2022)
(10/4/2022)
(10/4/2022)
(10/4/2022)
(10/4/2022)
(10/4/2022)
(10/4/2022)
(10/4/2022)
(10/4/2022)
(10/4/2022)
(10/4/2022)
(10/4/2022)
(10/4/2022)
(10/4/2022)
(10/4/2022)
(10/4/2022)
(10/4/2022)
(10/4/2022)
(10/4/2022)
(10/4/2022)
(10/4/2022)
(10/5/2022)
(10/4/2022)
(10/4/2022)
(10/4/2022)
(10/4/2022)
(10/4/2022)
(10/4/2022)
(10/4/2022)
(10/4/2022)
(10/4/2022)
(10/4/2022)
(10/4/2022)
(10/4/2022)
(10/4/2022)
(10/4/2022)
(10/4/2022)
(10/4/2022)
(10/4/2022)
Exams
Series 55
Date: 11/14/2007
Limited Representative-Equity Trader ExamSeries 21
Date: 7/20/2000
NYSE Front Line Specialist ClerkSeries 25
Date: 9/23/1999
NYSE Trading Assistant ExaminationFINRA
Current Firm
PARALEL DISTRIBUTORS
CRD#: 316115 / SEC#: , 8-70771
Contact information
FINRA licenses (53 States and Territories)
Documents
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.
