Edward J. Carroll
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.
Edward J Carroll, who also goes by Edward Joseph Carroll, Edward Carroll, Edward J Carroll, was a registered financial professional .
Edward is a previously registered financial professional and started their career in finance in 2004. Edward had worked at 5 firms and has passed the Series 63, Series 57TO, Series 7TO, SIE, Series 3, Series 55 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
June 14, 2024 - March 31, 2025
FINALIS SECURITIES LLC
January 11, 2019 - March 9, 2021
ZANBATO SECURITIES LLC
June 26, 2013 - July 16, 2013
REDI GLOBAL TECHNOLOGIES LLC
June 12, 2006 - June 7, 2017
GOLDMAN SACHS & CO. LLC
August 31, 2004 - June 27, 2006
GOLDMAN SACHS EXECUTION & CLEARING, L.P.
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
Series 57TO
Date: 1/2/2023
Securities Trader ExamSeries 7TO
Date: 7/13/2022
General Securities Representative ExaminationSeries 55
Date: 10/25/2004
Limited Representative-Equity Trader ExamCurrent Firm
FINALIS SECURITIES LLC
CRD#: 305908 / SEC#: , 8-70425
Contact information
FINRA licenses (53 States and Territories)
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| FINALIS, INC. | HOLDING COMPANY | |
| AZARY, DENNIS MICHAEL | CEO/CCO/FINOP | 2384263 |
Red Flags
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