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LC

Lauren Carroll

AGENTIS CAPITAL MARKETS US
VANCOUVER, BC, V6C 2W2
Some features on this profile are disabled
CRD#: 7978356
LC

Professional summary

Lauren Carroll, who also goes by Laurent Carroll, is a registered financial professional currently at AGENTIS CAPITAL MARKETS US, LLC .

Lauren is registered as a RR (Registered Representative) and started their career in finance in 2024. Lauren has worked at 1 firm and has passed the Series 63, Series 79TO and SIE exams.

top-8-questions

Question & Answer

Are you a "fiduciary"?
No

Aliases

Laurent Carroll

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 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

September 13, 2024 - Present

AGENTIS CAPITAL MARKETS US, LLC

Office #1: 1270-999 West Hastings Street, Vancouver, Bc, V6C 2W2
BD
CRD#: 328336
VANCOUVER, BC,

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
New York
(10/9/2024)

Exams

State Security Law Exam
RR
Series 63
Date: 10/9/2024
Uniform Securities Agent State Law Examination
General Industry/Product Exam
RR
Series 79TO
Date: 9/12/2024
Investment Banking Registered Representative Examination
General Industry/Product Exam
RR
SIE
Date: 8/7/2024
Securities Industry Essentials Examination
SRO Registrations
RR
FINRA

Current Firm

AC
AGENTIS CAPITAL MARKETS US, LLC
AGENTIS CAPITAL MARKETS US, LLC

CRD#: 328336 / SEC#: , 8-71174

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

Main Address
1270-999 West Hastings Street, Vancouver, Bc, V6C 2W2
Mailing Address
1270-999 West Hastings Street, Vancouver, Bc, V6C 2W2
Phone number
+1 (604) 687-1597
Established
Delaware since 02/01/2023
Firm type
Limited Liability Company
Fiscal year end
September
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#
AGENTIS CAPITAL LTD.SHAREHOLDER
FOSTER, LEECHIEF OPERATING OFFICER AND ANTI-MONEY LAUNDERING COMPLIANCE OFFICER7814929
GRIEVE, ANDREW WILLIAMSHAREHOLDER7817429
MARCOTTE, BRIAN TROYCHIEF COMPLIANCE OFFICER AND FINANCIAL OPERATIONS PRINCIPAL1182101
VAN BELLE, ROBERTPARTNER, DIRECTOR, CHIEF EXECUTIVE OFFICER, AND EXECUTIVE REPRESENTATIVE7814930

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

AGENTIS CAPITAL MARKETS US, LLC

CRD#: 328336Vancouver, Bc, V6C 2W2

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