Billy J. 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.
Billy Joe Carroll, who also goes by Billy Joe Carroll Jr, Joe Carroll Jr, was a registered financial professional .
Billy is a previously registered financial professional and started their career in finance in 1997. Billy had worked at 6 firms and has passed the Series 63, Series 7TO, Series 52TO, SIE, Series 55, Series 7, Series 24 and Series 53 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
September 5, 2017 - August 4, 2020
APW CAPITAL, INC.
December 5, 2007 - August 14, 2017
MML INVESTORS SERVICES, LLC
May 18, 2007 - November 27, 2007
EQUITABLE ADVISORS, LLC
August 26, 2004 - July 1, 2005
NYLIFE DISTRIBUTORS LLC
September 10, 2001 - July 16, 2004
MML INVESTORS SERVICES, LLC
September 30, 1998 - February 15, 2001
PROTRADER SECURITIES L.P.
November 25, 1997 - June 30, 1998
BROKER DEALER FINANCIAL SERVICES CORP.
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
Series 7TO
Date: 3/16/2024
General Securities Representative ExaminationSeries 52TO
Date: 3/16/2024
Municipal Securities Representative ExaminationSeries 55
Date: 5/14/1999
Limited Representative-Equity Trader ExamCurrent Firm
APW CAPITAL, INC.
CRD#: 43814 / SEC#: , 8-50433
Contact information
FINRA licenses (51 States and Territories)
Disclosures
| Regulatory Event | 2 |
| Arbitration | 1 |
Red Flags
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