Mark W. Carroll
Professional summary
Mark William Carroll, who also goes by Mark Carroll, is a registered financial professional currently at COGNITIVE CAPITAL, LLC located in Chicago, Illinois.
Mark is registered as a RR (Registered Representative) and started their career in finance in 2009. Mark has worked at 1 firm and has passed the Series 99TO, Series 57TO, SIE, Series 7, Series 3, Series 14 and Series 24 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary) - BD
Click below to view Mark William Carroll's CRS (Customer Relationship Summary).
Certified licenses
Experience
January 19, 2009 - Present
COGNITIVE CAPITAL, LLC
Office #1: 141 W Jackson # 1620, Chicago, IL 60604Office #2: 141 W Jackson Blvd # 1620, Chicago, IL 60604State 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 99TO
Date: 6/10/2024
Operations Professional ExaminationSeries 57TO
Date: 1/2/2023
Securities Trader ExamFINRA
Current Firm
COGNITIVE CAPITAL, LLC
CRD#: 131272 / SEC#: , 8-66442
Contact information
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| ARTHUR S. MARGULIS LIVING TRUST DATED 2/24/1998 | MANAGING MEMBER | |
| MARK AND BETSY CARROLL FAMILY REVOCABLE TRUST | MEMBER | |
| THE M & C BUCKLEY FAMILY REVOCABLE TRUST DATED 10/13/2020 | MEMBER | |
| BUCKLEY, MATTHEW EDWARD | TRADING MANAGER, TRUSTEE | 5130690 |
| CARROLL, MARK WILLIAM | CHIEF COMPLIANCE OFFICER, CHIEF OPERATING OFFICER, TRUSTEE | 5077727 |
| MARGULIS, ARTHUR SIDNEY JR | MANAGING PRINCIPAL, TRUSTEE | 2132364 |
| RIDGES, DAVID BRIAN | CHIEF TECHNOLOGY OFFICER, TRUSTEE | 4662004 |
| THE RIDGES FAMILY 2024 DECLARATION OF TRUST DATED MARCH 1, 2024 | MEMBER |
Disclosures
| Regulatory Event | 1 |
Red Flags
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