Carol Ann Ferrotta
Professional Summary
Carol Ann Ferrotta, who also goes by Carol Ann Ferbotta, Carol Ann Laflower, is a registered financial advisor currently at SHELTER ROCK CAPITAL GROUP LLC located in New York, New York and MANORHAVEN CAPITAL LLC located in New York, New York. Carol is registered as a RR (Registered Representative) and started their career in finance in 1995. Carol has worked at 11 firms and has passed the Series 63, Series 99TO, Series 57TO, SIE, Series...
At a Glance
Fiduciary Standard
Fee Structure
Account Minimum
Active Clients
Fiduciary Standard
Fee Structure
Account Minimum
Active Clients
Other Aliases
Carol Ann Ferbotta, Carol Ann Laflower
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Videos & Posts
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Contact Information
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Disclosures are events reported to regulators, such as customer disputes, regulatory actions, employment separations, or financial events. Some are resolved, denied, or contested — a disclosure is not a verdict. We recommend asking an advisor directly about any disclosure on their record.
Disclosures on record.
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.
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Years of Experience
31 years in the financial services industry
Current & Past Employments
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Current Firm
CHATSWORTH SECURITIES LLC | CHATSWORTH SECURITIES, LLC
Contact Information
Main Address
95 East Putnam Avenue, Greenwich, CT 06830Mailing Address
95 East Putnam Avenue, Greenwich, CT 06830Phone Number
(203) 629-2612Established
New York since 03/20/1996Firm Type
Limited Liability CompanyFiscal Year End
DecemberFirm Size
Small# of Employees
30FINRA licenses (6 States and Territories)
Registered to provide investment advisory services in 0 US states and territories.
Documents
Direct owners and executive officers
Disclosures
Regulatory Event
1Civil Event
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Other business activities
Outside business activity is any business or activity undertaken by an advisor that is outside the scope of their relationship with their firm (e.g., consulting services, real estate, freelance work, teaching, etc.). Investors should stay informed about these activities to ensure no conflicts of interest.
The advisor shows no other business activity.
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State Registrations and Notice Filings
Exams
Financial professionals may take different exams throughout their careers based on the types of services they provide and roles they perform.
SRO Registrations
SRO Registrations
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CRS (Client Relationship Summary) - BD
Click below to view Carol Ann Ferrotta's CRS (Customer Relationship Summary).
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