Richard T. 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.
Richard Thomas Carroll, who also goes by Richard Carroll, was a registered financial professional .
Richard is a previously registered financial professional and started their career in finance in 2005. Richard had worked at 1 firm and has passed the Series 65 and Series 2 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
April 19, 2005 - June 21, 2025
RT CARROLL & COMPANY
State Registrations and Notice Filings
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Exams
Series 2
Date: 6/16/1995
Non-Member General Securities ExaminationCurrent Firm
RT CARROLL & COMPANY
CRD#: 135064 / SEC#:
Contact information
Red Flags
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