Andrew E. Carroll
Professional summary
Andrew Edward Carroll, CFP® is a registered financial professional currently at ICAPITAL MARKETS LLC located in New York, New York.
Andrew is registered as a RR (Registered Representative) and started their career in finance in 2004. Andrew has worked at 3 firms and has passed the Series 63, Series 99TO, Series 7TO, SIE, Series 6 and Series 24 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary) - BD
Click below to view Andrew Edward Carroll's CRS (Customer Relationship Summary).
Certified licenses
Experience
November 30, 2023 - Present
ICAPITAL MARKETS LLC
Office #1: 60 East 42nd Street 26th Floor, New York, NY 10165March 4, 2022 - November 30, 2023
ICAPITAL SECURITIES, LLC
November 23, 2004 - January 4, 2007
AVANTAX INVESTMENT SERVICES, INC.
State Registrations and Notice Filings
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Visual representation of state registrations
Exams
Series 99TO
Date: 4/28/2023
Operations Professional ExaminationSeries 7TO
Date: 3/4/2022
General Securities Representative ExaminationFINRA
Current Firm
ICAPITAL MARKETS LLC
CRD#: 118219 / SEC#: , 8-53640
Contact information
FINRA licenses (53 States and Territories)
Documents
Red Flags
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