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JC

Joseph M. Carroll

HARKEN CAPITAL SECURITIES
BETHESDA, MD
Some features on this profile are disabled
CRD#: 7216042
JC

Professional summary

Joseph Michael Carroll III is a registered financial professional currently at HARKEN CAPITAL SECURITIES, LLC located in Bethesda, Maryland.

Joseph is registered as a RR (Registered Representative) and started their career in finance in 2020. Joseph has worked at 4 firms and has passed the Series 66, Series 7TO and SIE exams.

Question & Answer

Are you a "fiduciary"?
No

Aliases

None

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 Joseph Michael Carroll III's CRS (Customer Relationship Summary).
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

September 12, 2025 - Present

HARKEN CAPITAL SECURITIES, LLC

BD
CRD#: 163749
BETHESDA, MD
Past

November 7, 2023 - September 2, 2025

FALLS BRIDGE SECURITIES, LLC

BD
CRD#: 299526
BRYN MAWR, PA
Past

March 3, 2023 - October 30, 2023

CAPITAL SUISSE LLC

BD
CRD#: 269924
SEATTLE, WA
Past

January 10, 2022 - January 18, 2023

MERIDIAN INVESTMENTS, INC.

BD
CRD#: 13225
BETHESDA, MD
Past

February 18, 2020 - October 18, 2021

CAPITAL SUISSE LLC

BD
CRD#: 269924
SEATTLE, WA

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
Arizona
(9/12/2025)
RR
Colorado
(9/12/2025)
RR
District of Columbia
(9/30/2025)
RR
Illinois
(9/12/2025)
RR
Maryland
(9/12/2025)
RR
Massachusetts
(9/12/2025)
RR
New York
(9/12/2025)
RR
Rhode Island
(9/12/2025)
RR
Texas
(9/12/2025)
RR
Utah
(9/12/2025)
RR
Virginia
(9/12/2025)
RR
Wisconsin
(9/12/2025)

Exams

State Security Law Exam
RR
IAR
Series 66
Date: 6/29/2020
Uniform Combined State Law Examination
General Industry/Product Exam
RR
Series 7TO
Date: 2/18/2020
General Securities Representative Examination
General Industry/Product Exam
RR
SIE
Date: 12/28/2019
Securities Industry Essentials Examination
SRO Registrations
RR
FINRA

Current Firm

HC
HARKEN CAPITAL SECURITIES, LLC
HARKEN CAPITAL SECURITIES, LLC

CRD#: 163749 / SEC#: , 8-69077

BD
Broker-Dealer Firm Regulated by FINRA (Boston district office)
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Trends, Not Just SnapshotsMonitor firm stability metrics like AUM and advisor ratios over time.

Contact information

Main Address
16 Ann Vinal Road, Scituate, MA 02066
Mailing Address
16 Ann Vinal Road, Scituate, MA 02066
Phone number
(617) 342-7333
Established
Massachusetts since 11/16/2011
Firm type
Limited Liability Company
Fiscal year end
June
Firm Size
Small
# of Employees

FINRA licenses (13 States and Territories)

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

Documents

Customer Relationship Summary (CRS / FINRA)

Direct owners and executive officers

NamePositionCRD#
MALLOY, FREDERICK LODGEMANAGING DIRECTOR/CHIEF COMPLIANCE OFFICER2521341
NELSON, DONALD DALE JRMANAGING DIRECTOR/CHIEF EXECUTIVE OFFICER5309263
ANDERSON, KATHERINE ALICEFINOP4723171

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

HARKEN CAPITAL SECURITIES, LLC

CRD#: 163749Bethesda, MD

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