Rosalie C. 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.
Rosalie Carol Carroll, who also goes by Rosalie Carol Capaci, Rc Carroll, was a registered financial professional .
Rosalie is a previously registered financial professional and started their career in finance in 1979. Rosalie had worked at 10 firms and has passed the Series 63, Series 7, Series 1, Series 53, Series 27 and Series 24 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
June 3, 2011 - May 9, 2013
HILBY WILSON INC.
December 3, 2003 - June 8, 2009
EQUIVEST SECURITIES, LLC
February 1, 2001 - July 18, 2002
ESTREET SECURITIES, INC.
January 6, 1998 - January 31, 2001
HERITAGE WEST SECURITIES, INC.
March 19, 1997 - December 3, 1997
GAINEY FINANCIAL SERVICES, INC.
August 13, 1996 - April 28, 1997
NORCROSS & COMPANY
January 1, 1992 - August 1, 1996
PROFESSIONAL ASSET MANAGEMENT, INC.
May 2, 1988 - January 25, 1990
ROSE SECURITIES CORPORATION
July 24, 1984 - November 17, 1986
TITAN/VALUE EQUITIES GROUP, INC.
March 6, 1979 - June 18, 1984
MCCOMBS SECURITIES CO., INC.
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
Visual representation of state registrations
Exams
Series 1
Date: 2/26/1979
Registered Representative ExaminationCurrent Firm
HILBY WILSON INC.
CRD#: 13417 / SEC#: , 8-21920
Contact information
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| HILBY, BRUCE TITUS | PRESIDENT | |
| HILBY, BRUCE TITUS | CHIEF COMPLIANCE OFFICER | 1130540 |
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.
