Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you Douglas? Claim Your ProfileDouglas Carroll is a financial advisor with over 14 years of experience in the industry. Currently, Douglas is registered with Axos Clearing LLC and is licensed in Nebraska. Previously, Douglas was registered with Securities America, Inc. and TD Ameritrade, Inc.
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
NE
02/24/2023 - Present
Axos Clearing LLC (Omaha NE)
NE
03/08/2016 - 03/26/2021
SECURITIES AMERICA, INC. (LAVISTA NE)
NE
05/05/2008 - 02/16/2016
TD AMERITRADE, INC. (OMAHA NE)
BOTH
Issued 05/19/2008
Series 66 - Uniform Combined State Law Examination
BC
Issued 07/07/2011
Series 24 - General Securities Principal Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 05/02/2008
Series 7 - General Securities Representative Examination
Active
Inactive
B
BOX Exchange LLC
C
Cboe BZX Exchange, Inc.
F
FINRA
I
Investors' Exchange LLC
M
Miami International Securities Exchange, LLC
N
NYSE American LLC
N
NYSE Arca, Inc.
N
NYSE Chicago, Inc.
N
Nasdaq ISE, LLC
N
Nasdaq Stock Market
N
New York Stock Exchange
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