Kim S. Carroll
Professional summary
Kim Sang Carroll was barred by the FINRA from acting as a broker or investment advisor or otherwise associating with a broker-dealer firm.
Kim is a previously registered financial professional and started their career in finance in 1997. Prior to being barred, Kim had worked at 2 firms, which includes MICROTRADE NETWORKS INC., EQUITRADE SECURITIES CORPORATION.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
June 8, 1998 - August 15, 2003
MICROTRADE NETWORKS, INC.
March 14, 1997 - March 25, 2003
EQUITRADE SECURITIES CORPORATION
State Registrations and Notice Filings
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Exams
Series 55
Date: 6/2/2000
Limited Representative-Equity Trader ExamCurrent Firm
MICROTRADE NETWORKS, INC.
CRD#: 43558 / SEC#: , 8-50312
Contact information
Documents
Disclosures
| Regulatory Event | 2 |
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