Carol Marchini
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.
Carol Marchini, who also goes by Carol Feeley, Feeley, was a registered financial professional .
Carol is a previously registered financial professional and started their career in finance in 2002. Carol had worked at 3 firms and has passed the Series 63 and Series 7 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
August 2, 2011 - June 25, 2012
ALLY SECURITIES LLC
April 9, 2010 - June 16, 2011
SG AMERICAS SECURITIES, LLC
July 12, 2002 - July 20, 2009
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
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
Current Firm
ALLY SECURITIES LLC
CRD#: 25988 / SEC#: , 8-42417
Contact information
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| ALLY FINANCIAL INC. | PARENT | |
| BEATON, DANIEL STEWART | CHIEF FINANCIAL OFFICER | 4240769 |
| HALSEY, KURT STUART | PRESIDENT/CEO/COO | 4282242 |
| HOLLAND, DAVID | MEMBER OF BOARD OF DIRECTORS | 6392922 |
| RHODES, DEBORAH LAURA | GENERAL COUNSEL/ASSISTANT SECRETARY | 6392194 |
| SYKES, ROBERT CHRISTOPHER | CHIEF COMPLIANCE OFFICER | 2775993 |
| TIMMERMAN, DOUGLAS RICHARD | MEMBER OF BOARD OF DIRECTORS | 6427349 |
Red Flags
Disclosures can be potential red flags, including customer disputes, regulatory fines, employer terminations, bankruptcies, judgments, liens, or certain criminal activities.
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