Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you Caroll? Claim Your ProfileCaroll Garcia is a securities professional with over 25 years of experience in the financial services industry. Caroll holds several securities licenses, including Series 7, 55, 62, 63 and SIE. Caroll is currently registered with UBS Securities LLC and UBS Financial Services Inc.. Caroll is a well-respected and experienced financial professional who is committed to providing her clients with the highest quality of service.
Advisors offer a broad range of advisory services designed to meet the unique needs of individuals, businesses, and investment companies. These services provide professional guidance and personalized strategies to help clients achieve their financial goals.
Advisors may be compensated through a variety of fee structures, offering flexibility and transparency. This allows clients to choose the arrangement that best aligns with their financial objectives.
1
2
NJ
11/02/2020 - Present
UBS Securities LLC (Weehawken NJ)
NJ
06/16/2006 - 11/06/2013
UBS SECURITIES LLC (WEEHAWKEN NJ)
NJ
12/21/2001 - 06/28/2006
UBS FINANCIAL SERVICES INC. (WEEHAWKEN NJ)
NY
07/13/1998 - 12/02/1999
INTERCAPITAL INTERNATIONAL INC. (NEW YORK NY)
NY
03/08/1994 - 12/02/1999
INTERCAPITAL GOVERNMENT SECURITIES INC. (NEW YORK NY)
NA
03/08/1994 - 07/13/1998
EXCO RMJ INTERNATIONAL INC.
BC
Issued 12/22/2001
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 01/02/2023
Series 57TO - Securities Trader Exam
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 08/24/2013
Series 55 - Limited Representative-Equity Trader Exam
BC
Issued 05/19/2001
Series 7 - General Securities Representative Examination
BC
Issued 08/28/1995
Series 62 - Corporate Securities Limited Representative Examination
Active
Inactive
B
BOX Exchange LLC
C
Cboe BYX Exchange, Inc.
C
Cboe BZX Exchange, Inc.
C
Cboe C2 Exchange, Inc.
C
Cboe EDGA Exchange, Inc.
C
Cboe EDGX Exchange, Inc.
C
Cboe Exchange, Inc.
F
FINRA
I
Investors' Exchange LLC
L
Long-Term Stock Exchange, Inc.
M
MEMX LLC
M
MIAX Emerald, LLC
M
MIAX PEARL, LLC
M
Miami International Securities Exchange, LLC
N
NYSE American LLC
N
NYSE Arca, Inc.
N
NYSE Chicago, Inc.
N
NYSE National, Inc.
N
Nasdaq BX, Inc.
N
Nasdaq GEMX, LLC
N
Nasdaq ISE, LLC
N
Nasdaq MRX, LLC
N
Nasdaq PHLX LLC
N
Nasdaq Stock Market
N
New York Stock Exchange
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