Blaine R. 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.
Blaine Robert Carroll was a registered financial professional .
Blaine is a previously registered financial professional and started their career in finance in 1996. Blaine had worked at 8 firms and has passed the Series 63, Series 87 and Series 7 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
December 1, 2011 - November 29, 2012
AVIAN SECURITIES, LLC
May 27, 2011 - October 11, 2011
RODMAN & RENSHAW, LLC
August 10, 2010 - May 27, 2011
HUDSON SECURITIES,INC.
July 17, 2006 - February 8, 2010
FTN EQUITY CAPITAL MARKETS CORP.
May 25, 2004 - August 16, 2005
OPPENHEIMER & CO. INC.
August 28, 2000 - April 29, 2004
CANACCORD GENUITY LLC
July 1, 1998 - September 14, 2000
COWEN AND COMPANY
February 5, 1996 - July 1, 1998
FINANCIAL SQUARE PARTNERS
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
AVIAN SECURITIES, LLC
CRD#: 46347 / SEC#: , 8-51389
Contact information
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| THE AVI COHEN TRUST | PARTNER | |
| ZIRKEL, LAWRENCE EVAN | PARTNER | 2257064 |
| COHEN, AVI | TRUSTEE OF THE AVI COHEN TRUST, MANAGER & CHIEF COMPLIANCE OFFICER, ROP | 2410714 |
| COHEN, VANDA | TRUSTEE OF THE VANDA COHEN TRUST | 4653126 |
| KATSNELSON, DAVID | TRUSTEE OF THE ERIK GIDEON COHEN TRUST 2003, TRUSTEE OF THE ETHAN DAVID COHEN TRUST 2003 | 3260849 |
| LOVELL, NATHANIEL WILLARD | ROP | 4300307 |
| PFEIFFER, MARK STEWART | PARTNER | 4089566 |
| THE ERIK GIDEON COHEN TRUST 2003 | PARTNER | |
| THE ETHAN DAVID COHEN TRUST 2003 | PARTNER | |
| THE VANDA COHEN TRUST | PARTNER |
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.
