Matthew J. Carroll
Professional summary
Being a previously registered professional could mean that this person is no longer operating under the supervision of the SEC or FINRA.
That means that the Securities and Exchange Commission may not be able to oversee the services that this specific professional is providing.
Matthew Joseph Carroll JR, who also goes by Matthew Carroll, Matthew J. Carroll, Jr., was a registered financial professional .
Matthew is a previously registered financial professional and started their career in finance in 2009. Matthew had worked at 6 firms and has passed the Series 65, Series 66, SIE and Series 7 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
January 2, 2018 - February 28, 2019
IRC SECURITIES LLC
December 10, 2014 - December 18, 2017
INVESCO ADVISERS, INC.
September 9, 2014 - December 18, 2017
INVESCO DISTRIBUTORS, INC.
January 3, 2011 - September 8, 2014
J.P. MORGAN INSTITUTIONAL INVESTMENTS INC.
September 15, 2010 - January 3, 2011
JPMORGAN DISTRIBUTION SERVICES, INC.
September 3, 2009 - July 12, 2010
UBS FINANCIAL SERVICES INC.
June 3, 2009 - July 12, 2010
UBS FINANCIAL SERVICES INC.
State Registrations and Notice Filings
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Exams
Current Firm
IRC SECURITIES LLC
CRD#: 150022 / SEC#: , 8-68208
Contact information
FINRA licenses (16 States and Territories)
Documents
Disclosures
| Regulatory Event | 1 |
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.
