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JC

Jarel T. Carroll

Some features on this profile are disabled
CRD#: 4778972
JC

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.

Jarel Thomas Carroll, who also goes by Jarel T Carroll, Jarel Carroll, Jay Carroll, was a registered financial professional .

Jarel is a previously registered financial professional and started their career in finance in 2008. Jarel had worked at 5 firms and has passed the Series 63, SIE and Series 7 exams.

top-8-questions

Question & Answer

Are you a "fiduciary"?
No

Aliases

Jarel T Carroll | Jarel Carroll | Jay Carroll

Other business activities

Outside business activity is any business or activity undertaken by an advisor that is outside the scope of their relationship with their firm (e.g., consulting services, real estate, freelance work, teaching, etc.). Investors should stay informed about these activities to ensure no conflicts of interest.
The advisor shows no other business activity.

Blog Corner

CRS (Client Relationship Summary)

The CRS(Customer Relationship Summary) document is not provided.

Certified licenses

Advisors may have various certifications and credentials from different organizations. AdvisorCheck highlights these seven certifications - AIF®, CFP®, ChFC®, CFA, CLU®, CIMA®, CPWA®
None

Experience

Past

April 8, 2019 - January 21, 2020

REID & RUDIGER LLC

BD
CRD#: 47263
NEW YORK, NY
Past

June 5, 2018 - April 16, 2019

J.P. MORGAN SECURITIES LLC

BD
CRD#: 79
NEW YORK, NY
Past

May 21, 2013 - May 26, 2017

NATIONAL SECURITIES CORPORATION

BD
CRD#: 7569
NEW YORK, NY
Past

August 30, 2012 - April 11, 2013

REID & RUDIGER LLC

BD
CRD#: 47263
NEW YORK, NY
Past

March 22, 2012 - July 26, 2012

COLUMBUS ADVISORY GROUP, LTD.

BD
CRD#: 126331
NEW YORK, NY
Past

December 7, 2011 - February 3, 2012

REID & RUDIGER LLC

BD
CRD#: 47263
NEW YORK, NY
Past

April 1, 2010 - April 23, 2010

REID & RUDIGER LLC

BD
CRD#: 47263
NEW YORK, NY
Past

January 11, 2010 - January 12, 2010

REID & RUDIGER LLC

BD
CRD#: 47263
NEW YORK, NY
Past

October 27, 2009 - November 11, 2009

MERCER CAPITAL LTD.

BD
CRD#: 104012
NEW YORK, NY
Past

August 25, 2009 - September 24, 2009

REID & RUDIGER LLC

BD
CRD#: 47263
NEW YORK, NY
Past

June 11, 2008 - May 1, 2009

REID & RUDIGER LLC

BD
CRD#: 47263
NEW YORK, NY

State Registrations and Notice Filings

Listed states reflect where the advisor is authorized to serve clients under state regulations.

Visual representation of state registrations

This advisor is not registered in any state.

Exams

State Security Law Exam
RR
Series 63
Date: 4/7/2012
Uniform Securities Agent State Law Examination
General Industry/Product Exam
RR
SIE
Date: 10/1/2018
Securities Industry Essentials Examination
General Industry/Product Exam
RR
Series 7
Date: 6/10/2008
General Securities Representative Examination

Current Firm

R&
REID & RUDIGER LLC
REID & RUDIGER LLC

CRD#: 47263 / SEC#: , 8-51721

BD
Broker-Dealer Firm Regulated by FINRA (New York district office)
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Contact information

Main Address
40 Wall Street Ste 1708, New York, NY 10005
Mailing Address
40 Wall Street Ste 706, New York, NY 10005
Phone number
(212) 785-0500
Established
New York since 03/18/1998
Firm type
Limited Liability Company
Fiscal year end
December
Firm Size
Small
# of Employees

FINRA licenses (48 States and Territories)

Blank US states mapAlaskaHawaiiAlabamaArkansasArizonaCaliforniaColoradoConnecticutDelawareFloridaGeorgiaIowaIdahoIllinoisIndianaKansasKentuckyLouisianaMassachusettsMarylandMaineMichiganMinnesotaMissouriMississippiMontanaNorth CarolinaNorth DakotaNebraskaNew HampshireNew JerseyNew MexicoNevadaNew YorkOhioOklahomaOregonPennsylvaniaRhode IslandSouth CarolinaSouth DakotaTennesseeTexasUtahVirginiaVermontWisconsinWest VirginiaWyoming

Documents

Customer Relationship Summary (CRS / FINRA)

Direct owners and executive officers

NamePositionCRD#
EVERMORE HOLDINGS, LLCDIRECT OWNER
HARRISON, MARCMANAGING DIRECTOR, GSP, (ROP, CROP, SROP EFFECTIVE 5/2001), DESIGNATED GOVERNMENT PRINCIPAL1605568
MEZZATESTA, KELLI ACCO, AML CO4701170
RUDIGER, EDWARD JOSEPH JRCEO2118724
STOUBER, RANDY MARCFINOP1104531

Disclosures

Regulatory Event1
Arbitration1

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.

Company Information

REID & RUDIGER LLC

CRD#: 47263

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