Shane Michael Carroll
Professional Summary
Shane Michael Carroll is a registered financial advisor currently at DSP SECURITIES, LLC located in Conshohocken, Pennsylvania. Shane is registered as a RR (Registered Representative) and started their career in finance in 2018. Shane has worked at 2 firms and has passed the Series 63, SIE and Series 7 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
8 years in the financial services industry
Current & Past Employments
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Current Firm
DSP SECURITIES, LLC
Contact Information
Main Address
161 Washington Street Suite 580, Conshohocken, PA 19428Mailing Address
161 Washington Street Suite 580, Conshohocken, PA 19428Phone Number
(484) 533-6311Established
Pennsylvania since 06/15/2018Firm Type
Limited Liability CompanyFiscal Year End
JuneFirm Size
SmallFINRA licenses (1 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
(5/23/2019)
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 Shane Michael Carroll's CRS (Customer Relationship Summary).
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