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LC

Lauren D. Carroll

GLMX TECHNOLOGIES
NEW YORK, NY 10017
Some features on this profile are disabled
CRD#: 5459835
LC

Professional summary

Lauren D Carroll, who also goes by Lauren Danielle Bosco, is a registered financial professional currently at GLMX TECHNOLOGIES, LLC located in New York, New York.

Lauren is registered as a RR (Registered Representative) and started their career in finance in 2012. Lauren has worked at 3 firms and has passed the Series 99TO, SIE, Series 7, Series 14 and Series 24 exams.

top-8-questions

Question & Answer

Are you a "fiduciary"?
No

Aliases

Lauren Danielle Bosco

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 Lauren D Carroll'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

December 2, 2020 - Present

GLMX TECHNOLOGIES, LLC

Office #1: 666 3rd Avenue 32nd Fl, New York, NY, 10017
BD
CRD#: 289301
NEW YORK, NY
Past

September 24, 2015 - November 23, 2020

LIQUIDITYEDGE, LLC

BD
CRD#: 174297
NEW YORK,, NY
Past

September 6, 2012 - September 30, 2015

BROKERTEC AMERICAS LLC

BD
CRD#: 47477
JERSEY CITY, NJ

State Registrations and Notice Filings

Listed states reflect where the advisor is authorized to serve clients under state regulations.

Visual representation of state registrations

This advisor is not registered in any state.

Exams

General Industry/Product Exam
RR
Series 99TO
Date: 1/2/2023
Operations Professional Examination
General Industry/Product Exam
RR
SIE
Date: 10/1/2018
Securities Industry Essentials Examination
General Industry/Product Exam
RR
Series 7
Date: 9/5/2012
General Securities Representative Examination
Principal/Supervisory Exam
RR
Series 14
Date: 1/2/2023
Compliance Officer Examination
Principal/Supervisory Exam
RR
Series 24
Date: 4/3/2013
General Securities Principal Examination
SRO Registrations
RR
FINRA

Current Firm

GT
GLMX TECHNOLOGIES, LLC
GLMX TECHNOLOGIES LLC | GLMX TECHNOLOGIES, LLC

CRD#: 289301 / SEC#: , 8-69987

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

Main Address
666 3rd Avenue 32nd Fl, New York, NY, 10017
Mailing Address
666 3rd Avenue 32nd Fl, New York, NY, 10017
Phone number
(929) 445-6900
Established
Delaware since 06/01/2017
Firm type
Limited Liability Company
Fiscal year end
December
Firm Size
Small
# of Employees

FINRA licenses (1 States and Territories)

Blank US states mapAlaskaHawaiiAlabamaArkansasArizonaCaliforniaColoradoConnecticutDelawareFloridaGeorgiaIowaIdahoIllinoisIndianaKansasKentuckyLouisianaMassachusettsMarylandMaineMichiganMinnesotaMissouriMississippiMontanaNorth CarolinaNorth DakotaNebraskaNew HampshireNew JerseyNew MexicoNevadaNew YorkOhioOklahomaOregonPennsylvaniaRhode IslandSouth CarolinaSouth DakotaTennesseeTexasUtahVirginiaVermontWisconsinWest VirginiaWyoming

Documents

Direct owners and executive officers

NamePositionCRD#
GLOBAL LIQUID MARKETS, LLCMANAGING MEMBER
CARROLL, LAUREN DCAO, GENERAL COUNSEL5459835
GRAY, BRYAN HARRISONCHIEF COMPLIANCE OFFICER6535190
HAVLICEK, GLENN STEWARTCEO & CLO1798717
LAHOUD, MICHAELPRINCIPAL OPERATIONS OFFICER (POO)/ CFO/ FINOP/PFO6620329

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

GLMX TECHNOLOGIES, LLC

CRD#: 289301New York, NY 10017

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