Timothy Okane Carroll
Professional Summary
Timothy Okane Carroll, who also goes by Timothy O'kane Carroll, is a registered financial advisor currently at ELMCORE SECURITIES LLC located in Chicago, Illinois. Timothy is registered as a RR (Registered Representative) and started their career in finance in 2023. Timothy has worked at 2 firms and has passed the Series 63, Series 79TO, Series 7TO and SIE exams.
At a Glance
Fiduciary Standard
Fee Structure
Account Minimum
Active Clients
Fiduciary Standard
Fee Structure
Account Minimum
Active Clients
Other Aliases
Timothy O'kane Carroll
Similar Advisors
COUNTRY CAPITAL MANAGEMENT COMPANY
UBS FINANCIAL SERVICES INC.
WILLIAM BLAIR
RISE INVESTMENT MANAGEMENT, LLC
Videos & Posts
This advisor has not added any videos or posts yet.
Similar Advisors
COUNTRY CAPITAL MANAGEMENT COMPANY
UBS FINANCIAL SERVICES INC.
WILLIAM BLAIR
RISE INVESTMENT MANAGEMENT, LLC
Contact Information
This advisor has not claimed their profile yet, so there is no contact information to display at this time.
Similar Advisors
COUNTRY CAPITAL MANAGEMENT COMPANY
UBS FINANCIAL SERVICES INC.
WILLIAM BLAIR
RISE INVESTMENT MANAGEMENT, LLC
Disclosures are events reported to regulators, such as customer disputes, regulatory actions, employment separations, or financial events. Some are resolved, denied, or contested — a disclosure is not a verdict. We recommend asking an advisor directly about any disclosure on their record.
Disclosures on record.
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.
Similar Advisors
COUNTRY CAPITAL MANAGEMENT COMPANY
UBS FINANCIAL SERVICES INC.
WILLIAM BLAIR
RISE INVESTMENT MANAGEMENT, LLC
Years of Experience
3 years in the financial services industry
Current & Past Employments
Similar Advisors
COUNTRY CAPITAL MANAGEMENT COMPANY
UBS FINANCIAL SERVICES INC.
WILLIAM BLAIR
RISE INVESTMENT MANAGEMENT, LLC
Current Firm
ELMCORE SECURITIES LLC
Contact Information
Main Address
500 W Madison Street, Suite 1000, Chicago, IL 60661Mailing Address
500 W Madison Street, Suite 1000, Chicago, IL 60661Phone Number
(312) 488-4008Established
Nevada since 05/02/2011Firm Type
Limited Liability CompanyFiscal Year End
DecemberFirm Size
SmallFINRA licenses (7 States and Territories)
Registered to provide investment advisory services in 0 US states and territories.
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| ELMCORE GROUP INC. | MEMBER | — |
| DANCIU, FELIX GAVRIL | EXECUTIVE REPRESENTATIVE, CHIEF EXECUTIVE OFFICER, MANAGER | 4463642 |
| SCHMIDT, KIMBERLY C | FINOP & PRINCIPAL FINANCIAL OFFICER | 4551566 |
| SCHMIDT, KIMBERLY C | CHIEF COMPLIANCE OFFICER | 4551566 |
| SCHMIDT, KIMBERLY C | CHIEF OPERATING OFFICER & PRINCIPAL OPERATIONS OFFICER | 4551566 |
Similar Advisors
COUNTRY CAPITAL MANAGEMENT COMPANY
UBS FINANCIAL SERVICES INC.
WILLIAM BLAIR
RISE INVESTMENT MANAGEMENT, LLC
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.
Similar Advisors
COUNTRY CAPITAL MANAGEMENT COMPANY
UBS FINANCIAL SERVICES INC.
WILLIAM BLAIR
RISE INVESTMENT MANAGEMENT, LLC
State Registrations and Notice Filings
(7/15/2024)
Exams
Financial professionals may take different exams throughout their careers based on the types of services they provide and roles they perform.
Series 79TO — Investment Banking Registered Representative Examination
Passed May 2025About the Series 79TO examSRO Registrations
Similar Advisors
COUNTRY CAPITAL MANAGEMENT COMPANY
UBS FINANCIAL SERVICES INC.
WILLIAM BLAIR
RISE INVESTMENT MANAGEMENT, LLC
CRS (Client Relationship Summary) - BD
Click below to view Timothy Okane Carroll's CRS (Customer Relationship Summary).
Similar Advisors
COUNTRY CAPITAL MANAGEMENT COMPANY
UBS FINANCIAL SERVICES INC.
WILLIAM BLAIR
RISE INVESTMENT MANAGEMENT, LLC
