Timothy M. Carroll
Professional summary
Timothy M Carroll is a registered financial professional currently at IMPERIAL CAPITAL, LLC located in Los Angeles, California.
Timothy is registered as a RR (Registered Representative) and started their career in finance in 2001. Timothy has worked at 1 firm and has passed the Series 63, Series 57TO, SIE, Series 55 and Series 7 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary) - BD
Click below to view Timothy M Carroll's CRS (Customer Relationship Summary).
Certified licenses
Experience
October 24, 2001 - Present
IMPERIAL CAPITAL, LLC
Office #1: 10100 Santa Monica Blvd. Suite 2400, Los Angeles, CA 90067Office #2: 10100 Santa Monica Blvd. Suite 2400, Los Angeles, CA 90067State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
Visual representation of state registrations
(3/12/2002)
(1/13/2005)
(7/1/2003)
(1/13/2005)
(5/3/2011)
(1/5/2021)
(12/8/2004)
(12/10/2014)
(1/13/2005)
(12/10/2014)
(9/28/2021)
(1/13/2005)
(1/18/2005)
(1/13/2005)
(12/10/2014)
(8/8/2012)
(11/30/2021)
(1/13/2005)
(5/5/2022)
(1/5/2021)
Exams
Series 57TO
Date: 1/2/2023
Securities Trader ExamSeries 55
Date: 6/4/2002
Limited Representative-Equity Trader ExamFINRA
Nasdaq Stock Market
Current Firm
IMPERIAL CAPITAL, LLC
CRD#: 43744 / SEC#: , 8-50397
Contact information
FINRA licenses (51 States and Territories)
Direct owners and executive officers
Disclosures
| Regulatory Event | 2 |
| Arbitration | 1 |
Red Flags
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