Stacy S. Carroll
Professional summary
Stacy S Carroll, who also goes by Stacy Schmidt Carroll, Stacy Carroll, Stacy L Schmidt, Stacy L. Schmidt-carroll, is a registered financial professional currently at PERSHING ADVISOR SOLUTIONS LLC located in Lake Mary, Florida and PERSHING LLC located in Lake Mary, Florida.
Stacy is registered as a RR (Registered Representative) and started their career in finance in 1999. Stacy has worked at 4 firms and has passed the Series 63, SIE and Series 6 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary) - BD
Click below to view Stacy S Carroll's CRS (Customer Relationship Summary).
Certified licenses
Experience
April 11, 2025 - Present
PERSHING ADVISOR SOLUTIONS LLC
Office #1: 300 Colonial Center Parkway 4th Floor, Lake Mary, FL 32746Office #2: 600 Colonial Center Parkway, Lake Mary, FL 32746April 11, 2025 - Present
PERSHING LLC
Office #1: 600 Colonial Center Parkway, Lake Mary, FL 32746Office #2: 300 Colonial Center Parkway, Lake Mary, FL 32746October 1, 2000 - January 8, 2025
WELLS FARGO CLEARING SERVICES, LLC
October 1, 2000 - January 8, 2025
WELLS FARGO CLEARING SERVICES, LLC
March 16, 1999 - October 1, 2000
FIRST UNION BROKERAGE SERVICES, INC.
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
Visual representation of state registrations
(4/14/2025)
(4/14/2025)
Exams
FINRA
Current Firm
PERSHING LLC
CRD#: 7560 / SEC#: , 8-17574
Contact information
FINRA licenses (53 States and Territories)
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| PERSHING GROUP LLC | HOLDING COMPANY | |
| BADGER, ERIC CHRISTOPHER | BOARD MEMBER | 8040351 |
| CROWLEY, JAMES THOMAS | CHIEF EXECUTIVE OFFICER (CEO), GLOBAL HEAD, BOARD MEMBER | 1087182 |
| DAVID, ERIC CIMARRON | BOARD MEMBER, PRINCIPAL OPERATIONS OFFICER, CHIEF OPERATIONS OFFICER | 3132045 |
| KEARNEY, JAMES FRANCIS III | BOARD MEMBER | 6388373 |
| LOFLING, JASON ROBERT | BOARD MEMBER, CHIEF FINANCIAL OFFICER (CFO), PRINCIPAL FINANCIAL OFFICER (PFO) | 5177277 |
| MAJIYAGBE, ELIZABETH OLAIDE | BOARD MEMBER | 7013772 |
| O'LAUGHLEN, VICTOR FRANCIS JR | BOARD MEMBER | 8041737 |
| SIMMONDS, AINSLIE JANE | BOARD MEMBER | 6047968 |
| VITALE, JASON DOMINICK | BOARD MEMBER | 8038160 |
| YOUNG, LYNN MARIE | CHIEF COMPLIANCE OFFICER | 1982726 |
Disclosures
| Regulatory Event | 74 |
| Arbitration | 32 |
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.
