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JC

John T. Carey

EAGLE POINT SECURITIES LLC
Greenwich, CT 06830
Some features on this profile are disabled
CRD#: 5071451
JC

Professional summary

John Timothy Carey IV, who also goes by John Timothy Carey, is a registered financial professional currently at EAGLE POINT SECURITIES LLC located in Greenwich, Connecticut.

John is registered as a RR (Registered Representative) and started their career in finance in 2006. John has worked at 10 firms and has passed the Series 66, SIE, Series 31 and Series 7 exams.

Question & Answer

Are you a "fiduciary"?
No

Aliases

John Timothy Carey

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 John Timothy Carey IV'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

April 19, 2024 - Present

EAGLE POINT SECURITIES LLC

Office #1: 600 Steamboat Road Suite 202, Greenwich, CT 06830
BD
CRD#: 324528
Greenwich, CT
Past

October 27, 2022 - April 15, 2024

WEALTHFORGE SECURITIES, LLC

BD
CRD#: 152550
RICHMOND, VA
Past

May 2, 2022 - October 15, 2022

ORCHARD SECURITIES, LLC

BD
CRD#: 133378
PLEASANT GROVE, UT
Past

January 29, 2018 - May 2, 2022

INTERNATIONAL ASSETS ADVISORY, LLC

BD
CRD#: 10645
ORLANDO, FL
Past

February 19, 2015 - January 2, 2018

SELECT CAPITAL CORPORATION

BD
CRD#: 145997
LADERA RANCH, CA
Past

October 3, 2014 - February 19, 2015

TD AMERITRADE, INC.

RIA
CRD#: 7870
PHILADELPHIA, PA
Past

October 3, 2014 - February 19, 2015

TD AMERITRADE INVESTMENT MANAGEMENT, LLC

RIA
CRD#: 111514
PHILADELPHIA, PA
Past

September 25, 2014 - February 19, 2015

TD AMERITRADE, INC.

BD
CRD#: 7870
PHILADELPHIA, PA
Past

August 25, 2010 - March 7, 2014

RESOURCE SECURITIES LLC

BD
CRD#: 133022
PHILADELPHIA, PA
Past

September 3, 2008 - August 11, 2010

WELLS FARGO CLEARING SERVICES, LLC

RIA
CRD#: 19616
PHILADELPHIA, PA
Past

September 3, 2008 - August 11, 2010

WELLS FARGO CLEARING SERVICES, LLC

BD
CRD#: 19616
PHILADELPHIA, PA
Past

July 18, 2006 - August 18, 2008

AMERIPRISE FINANCIAL SERVICES, LLC

RIA
CRD#: 6363
CONSHOHOCKEN, PA
Past

June 7, 2006 - August 18, 2008

AMERIPRISE FINANCIAL SERVICES, LLC

BD
CRD#: 6363
CONSHOHOCKEN, PA

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
Delaware
(4/19/2024)
RR
Illinois
(2/10/2025)
RR
Indiana
(2/10/2025)
RR
Iowa
(2/10/2025)
RR
Kansas
(2/10/2025)
RR
Michigan
(2/10/2025)
RR
Minnesota
(2/10/2025)
RR
Missouri
(2/10/2025)
RR
Nebraska
(2/10/2025)
RR
New Jersey
(4/19/2024)
RR
North Dakota
(2/10/2025)
RR
Ohio
(2/10/2025)
RR
Pennsylvania
(4/19/2024)
RR
Rhode Island
(4/19/2024)
RR
South Dakota
(2/10/2025)
RR
Wisconsin
(2/10/2025)

Exams

State Security Law Exam
RR
IAR
Series 66
Date: 10/3/2014
Uniform Combined State Law Examination
General Industry/Product Exam
RR
SIE
Date: 10/1/2018
Securities Industry Essentials Examination
General Industry/Product Exam
RR
Series 31
Date: 6/11/2009
Futures Managed Funds Examination
General Industry/Product Exam
RR
Series 7
Date: 6/6/2006
General Securities Representative Examination
SRO Registrations
RR
FINRA

Current Firm

EP
EAGLE POINT SECURITIES LLC
EAGLE POINT SECURITIES LLC

CRD#: 324528 / SEC#: , 8-71048

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

Main Address
600 Steamboat Road Suite 202, Greenwich, CT 06830
Mailing Address
600 Steamboat Road Suite 202, Greenwich, CT 06830
Phone number
(203) 340-8565
Established
Delaware since 11/29/2022
Firm type
Limited Liability Company
Fiscal year end
December
Firm Size
Small
# 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#
EAGLE POINT HOLDINGS LPSOLE MEMBER
CHUNG, MICHAEL NMNFINOP/PFO5739877
DAIGLE, JENNIFFER ALYCEVICE PRESIDENT2620553
DOHERTY, JAMES HUGHPRINCIPAL OPERATIONS OFFICER (POO)4197747
FOX, GERHARD ROBERTCHIEF COMPLIANCE OFFICER2796860
ROTH, JOSEPH HARRISPRESIDENT7673254

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

EAGLE POINT SECURITIES LLC

CRD#: 324528Greenwich, CT 06830

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