Brian Mitchell Carroll
Professional Summary
Brian Mitchell Carroll is a registered financial advisor currently at BETHESDA SECURITIES, LLC located in Westport, Connecticut. Brian is registered as a RR (Registered Representative) and started their career in finance in 2008. Brian has worked at 4 firms and has passed the Series 63, Series 99TO, SIE, Series 7, Series 24 and Series 27 exams.
At a Glance
Fiduciary Standard
Fee Structure
Account Minimum
Active Clients
Fiduciary Standard
Fee Structure
Account Minimum
Active Clients
Other Aliases
There are no additional aliases reported.
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Videos & Posts
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Contact Information
This advisor has not claimed their profile yet, so there is no contact information to display at this time.
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Disclosures on record.
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Years of Experience
17 years in the financial services industry
Current & Past Employments
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Current Firm
BETHESDA SECURITIES, LLC
Contact Information
Main Address
355 Riverside Avenue Suite 301, Westport, CT 06880Mailing Address
355 Riverside Avenue Suite 301, Westport, CT 06880Phone Number
(203) 429-0720Established
Delaware since 07/22/2015Firm Type
Limited Liability CompanyFiscal Year End
DecemberFirm Size
SmallFINRA licenses (4 States and Territories)
Registered to provide investment advisory services in 0 US states and territories.
Documents
Direct owners and executive officers
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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.
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State Registrations and Notice Filings
(7/18/2016)
(7/7/2016)
(8/1/2016)
(7/7/2016)
Exams
Financial professionals may take different exams throughout their careers based on the types of services they provide and roles they perform.
SRO Registrations
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CRS (Client Relationship Summary) - BD
Click below to view Brian Mitchell Carroll's CRS (Customer Relationship Summary).
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