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TC

Timothy C. Carroll

MFS FUND DISTRIBUTORS
Boston, MA 02199
Some features on this profile are disabled
CRD#: 4782045
TC

Professional summary

Timothy Christopher Carroll is a registered financial professional currently at MFS FUND DISTRIBUTORS, INC. located in Boston, Massachusetts.

Timothy is registered as a RR (Registered Representative) and started their career in finance in 2004. Timothy has worked at 3 firms and has passed the Series 65, Series 63, SIE and Series 7 exams.

top-8-questions

Question & Answer

Are you a "fiduciary"?
No

Aliases

None

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) - BD

Click below to view Timothy Christopher Carroll's CRS (Customer Relationship Summary).

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

Current

March 29, 2011 - Present

MFS FUND DISTRIBUTORS, INC.

Office #1: 111 Huntington Avenue, Boston, MA 02199
BD
CRD#: 31052
Boston, MA
Past

August 24, 2009 - March 10, 2011

EDWARD JONES

BD
CRD#: 250
GLENDALE, AZ
Past

September 10, 2007 - August 17, 2009

M&I FINANCIAL ADVISORS, INC

BD
CRD#: 16517
PEORIA, AZ
Past

June 2, 2004 - September 6, 2007

EDWARD JONES

BD
CRD#: 250
PHOENIX, AZ

State Registrations and Notice Filings

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

RR
indicates the advisor is registered as a Registered Representative in this state, allowing them to offer securities such as stocks, bonds, and mutual funds through a broker-dealer.

Visual representation of state registrations

RR
Iowa
(4/23/2020)
RR
Nebraska
(4/23/2020)
RR
North Carolina
(3/29/2011)
RR
North Dakota
(4/23/2020)
RR
South Dakota
(4/23/2020)
RR
Tennessee
(3/29/2011)

Exams

State Security Law Exam
IAR
Series 65
Date: 1/8/2008
Uniform Investment Adviser Law Examination
State Security Law Exam
RR
Series 63
Date: 6/4/2004
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: 6/1/2004
General Securities Representative Examination
SRO Registrations
RR
FINRA

Current Firm

MF
MFS FUND DISTRIBUTORS, INC.
MFS FUND DISTRIBUTORS, INC. | MFS INVESTOR SERVICES, INC.

CRD#: 31052 / SEC#: , 8-45321

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

Main Address
111 Huntington Avenue, Boston, MA 02199
Mailing Address
111 Huntington Avenue, Boston, MA 02199
Phone number
(617) 954-5000
Established
Delaware since 10/27/1992
Firm type
Corporation
Fiscal year end
December
Firm Size
Medium
# of Employees

FINRA licenses (53 States and Territories)

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

Documents

Direct owners and executive officers

NamePositionCRD#
MASSACHUSETTS FINANCIAL SERVICES COMPANYPARENT COMPANY
GEREMIA, CAROL WILLIAMDIRECTOR AND CHAIRMAN OF THE BOARD1456883
HARDIN, HEIDI WALTERSECRETARY2619251
HUNT, MICHAEL ANDREWCHIEF COMPLIANCE OFFICER4150065
KEENAN, MICHAEL SEANPRESIDENT AND DIRECTOR2324763
SMELSTOR, JOSEPH JOHN IVTREASURER AND SENIOR GROUP CONTROLLER6247186

Disclosures

Regulatory Event1

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

MFS FUND DISTRIBUTORS, INC.

CRD#: 31052Boston, MA 02199

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