William Carroll
Professional summary
William Carroll, who also goes by W. Stevens Carroll, William Stevens Carroll, is a registered financial professional currently at FORESIDE FUND SERVICES, LLC .
William is registered as a RR (Registered Representative) and started their career in finance in 2005. William has worked at 2 firms and has passed the Series 63, Series 65, Series 7TO and SIE exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary) - BD
Click below to view William Carroll's CRS (Customer Relationship Summary).
Certified licenses
Experience
May 9, 2022 - Present
FORESIDE FUND SERVICES, LLC
Office #1: 1 Saint Katherine's Way 6th Floor, London, E1W 1UNApril 1, 2021 - October 5, 2021
FORESIDE FUND SERVICES, LLC
January 6, 2011 - August 19, 2011
CB RICHARD ELLIS GLOBAL REAL ESTATE SECURITIES, LLC
April 18, 2005 - December 31, 2010
CB RICHARD ELLIS GLOBAL REAL ESTATE SECURITIES, LLC
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
Visual representation of state registrations
(4/7/2025)
(4/7/2025)
(5/9/2022)
Exams
Series 7TO
Date: 4/1/2021
General Securities Representative ExaminationFINRA
Current Firm
FORESIDE FUND SERVICES, LLC
CRD#: 46106 / SEC#: , 8-51293
Contact information
FINRA licenses (53 States and Territories)
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| FORESIDE DISTRIBUTORS, LLC | SOLE MEMBER | |
| COWAN, TERESA MARIA KAZMIERSKI | PRES/MANAGER/DIRECTOR | 1544189 |
| EDELMAN, GABRIEL | SECRETARY | 6654419 |
| LA FOND, SUSAN LORENE | TREASURER | 4512785 |
| LANZA, CHRISTOPHER CONTE | VICE PRESIDENT | 2184856 |
| MACCHIA, KATE SCHENDEL | VICE PRESIDENT | 4863973 |
| SOMMERS, WESTON | CFO/FINOP | 5290145 |
| STROUT, ALICIA KIMBERLY | CHIEF COMPLIANCE OFFICER/VICE PRESIDENT | 6320351 |
Red Flags
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