Justin A. Carroll
Professional summary
Justin Albert Carroll was barred by the FINRA from acting as a broker or investment advisor or otherwise associating with a broker-dealer firm.
Justin is a previously registered financial professional and started their career in finance in 1999. Prior to being barred, Justin had worked at 4 firms, which includes FORESTERS EQUITY SERVICES INC., METROPOLITAN LIFE INSURANCE COMPANY, MSI FINANCIAL SERVICES INC., PARK AVENUE SECURITIES LLC.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
July 7, 2005 - September 7, 2006
FORESTERS EQUITY SERVICES, INC.
July 16, 2003 - February 3, 2005
METROPOLITAN LIFE INSURANCE COMPANY
July 16, 2003 - February 3, 2005
MSI FINANCIAL SERVICES, INC.
September 17, 2002 - July 24, 2003
PARK AVENUE SECURITIES LLC
March 16, 1999 - August 30, 2002
METROPOLITAN LIFE INSURANCE COMPANY
March 16, 1999 - August 30, 2002
MSI FINANCIAL SERVICES, INC.
State Registrations and Notice Filings
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Visual representation of state registrations
Exams
Current Firm
FORESTERS EQUITY SERVICES, INC.
CRD#: 18464 / SEC#: 801-77880, 8-36703
Contact information
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| THE INDEPENDENT ORDER OF FORESTERS ("IOF") | OWNER | |
| GERB, JASON HARRIS | CHIEF COMPLIANCE OFFICER | 3021815 |
| GIL, JUDITH ELAINE | VICE PRESIDENT COMPLIANCE | 2707895 |
| MALECHUK, LAURA ANN | FINANCIAL OPERATIONS PRINCIPAL | 1105982 |
| MCDONOUGH, MARK E | VP OPERATIONS | 4254608 |
| REABURN, PAUL DOUGLAS | DIRECTOR | 4125521 |
| SMITH, FRANK LEO | PRESIDENT | 2080590 |
| SMITH, FRANK LEO | DIRECTOR | 2080590 |
Disclosures
| Regulatory Event | 2 |
Red Flags
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