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KC

Kevin Carroll

Some features on this profile are disabled
CRD#: 2810348
KC

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.

Kevin Carroll was a registered financial professional .

Kevin is a previously registered financial professional and started their career in finance in 1997. Kevin had worked at 6 firms and has passed the Series 63 and Series 7 exams.

top-8-questions

Question & Answer

Are you a "fiduciary"?
No

Aliases

None

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.

Blog Corner

CRS (Client Relationship Summary)

The CRS(Customer Relationship Summary) document is not provided.

Certified licenses

Advisors may have various certifications and credentials from different organizations. AdvisorCheck highlights these seven certifications - AIF®, CFP®, ChFC®, CFA, CLU®, CIMA®, CPWA®
None

Experience

Past

December 10, 2004 - March 6, 2013

CITIGROUP DERIVATIVES MARKETS INC.

BD
CRD#: 133084
MINNETONKA, MN
Past

October 31, 2002 - July 1, 2003

KNIGHT EXECUTION PARTNERS LLC

BD
CRD#: 104228
CHICAGO, IL
Past

October 1, 2002 - December 10, 2004

KNIGHT FINANCIAL PRODUCTS LLC

BD
CRD#: 37791
MINNETONKA, MN
Past

June 29, 1998 - September 21, 2001

UBS SECURITIES LLC

BD
CRD#: 7654
NEW YORK, NY
Past

September 2, 1997 - June 29, 1998

SBC WARBURG DILLON READ INC.

BD
CRD#: 1650
STAMFORD, CT
Past

July 29, 1997 - September 2, 1997

SBC WARBURG, INC.

BD
CRD#: 23745
NEW YORK, NY

State Registrations and Notice Filings

Listed states reflect where the advisor is authorized to serve clients under state regulations.

Visual representation of state registrations

This advisor is not registered in any state.

Exams

State Security Law Exam
RR
Series 63
Date: 12/4/1997
Uniform Securities Agent State Law Examination
General Industry/Product Exam
RR
Series 7
Date: 7/28/1997
General Securities Representative Examination

Current Firm

CD
CITIGROUP DERIVATIVES MARKETS INC.
CITIGROUP DERIVATIVES MARKETS INC.

CRD#: 133084 / SEC#: , 8-66679

BD
Terminated by SEC on 08/07/2021
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Contact information

Main Address
Mailing Address
Phone number
Established
Delaware since 08/19/2004
Firm type
Corporation
Fiscal year end
December
# of Employees

Documents

Direct owners and executive officers

NamePositionCRD#
CITIGROUP FINANCIAL PRODUCTS INC.DIRECT OWNER
HALDANE, DAVID GEOFFREYDIRECTOR5325475
KELTZ, STEVEN JAY MR.GENERAL COUNSEL
MOGILEVSKY, CHARLES ROBERTDIRECTOR1712540
MOGILEVSKY, CHARLES ROBERTPRESIDENT1712540
MOGILEVSKY, CHARLES ROBERTCHIEF OPERATIONS OFFICER / POO1712540
SALIBA, RAMSEYCHIEF FINANCIAL OFFICER / FINOP / PFO5358958
TARLETON, JOHN KERMITCHIEF COMPLIANCE OFFICER1390864
WINCHESTER, J SLADEDIRECTOR1762956

Disclosures

Regulatory Event20

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.

Company Information

CITIGROUP DERIVATIVES MARKETS INC.

CRD#: 133084

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