Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you James? Claim Your ProfileJames Carroll is a financial professional with over 15 years of experience in the securities industry. James currently works as a registered representative at SEB Securities, Inc., where he began working in June 2021. James previously worked at Huatai Securities (USA), Inc. Prior to that, he worked at Haitong International Securities (USA) Inc. and Credit Suisse First Boston LLC. James holds FINRA Series 7, 16, and 24 licenses as well as the SIE exam. James’s professional career started on December 6, 2008.
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.
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2
NY
06/08/2021 - Present
SEB Securities, Inc. (NEW YORK NY)
NY
09/24/2021 - 05/25/2023
HUATAI SECURITIES (USA), INC. (NEW YORK NY)
NY
02/24/2011 - 01/21/2020
HAITONG INTERNATIONAL SECURITIES (USA) INC. (NEW YORK NY)
NY
08/06/2001 - 03/09/2005
CREDIT SUISSE FIRST BOSTON LLC (NEW YORK NY)
BC
Issued 11/03/2011
Series 24 - General Securities Principal Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 04/19/2011
Series 16 - NYSE Supervisory Analyst Examination
BC
Issued 02/23/2011
Series 7 - General Securities Representative Examination
Active
Inactive
F
FINRA
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