Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you John? Claim Your ProfileJohn David Carroll is a financial professional with over 10 years of experience in the securities industry. John has held various roles at several firms, including Trinity Executions, LLC, MNR Executions, LLC, SUMO Capital, LLC, DRO-WST Trading, LLC, WSP Commodity Trading LLC, and SMC Option Management, LLC. John currently works at Culvert Capital LLC, a firm based in Downers Grove, IL. John is a registered principal with FINRA and holds several licenses including Series 3, Series 4, Series 7, Series 14, Series 24, Series 27, Series 44, Series 99TO and the SIE.
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
IL
04/28/2022 - Present
Culvert Capital LLC (DOWNERS GROVE IL)
IL
09/28/2012 - 07/01/2020
TRINITY EXECUTIONS, LLC (CHICAGO IL)
IL
09/04/2012 - 12/10/2018
MNR EXECUTIONS, LLC (CHICAGO IL)
IL
11/08/2013 - 11/15/2016
SUMO CAPITAL, LLC (CHICAGO IL)
IL
09/04/2012 - 11/01/2013
DRO-WST TRADING, LLC (CHICAGO IL)
IL
01/27/2012 - 09/18/2012
WSP COMMODITY TRADING LLC (CHICAGO IL)
IL
09/17/2010 - 11/28/2011
SMC OPTION MANAGEMENT, LLC (CHICAGO IL)
BC
Issued 01/02/2023
Series 14 - Compliance Officer Examination
BC
Issued 05/16/2016
Series 27 - Financial and Operations Principal Examination
BC
Issued 10/14/2010
Series 24 - General Securities Principal Examination
BC
Issued 09/29/2010
Series 4 - Registered Options Principal Examination
BC
Issued 01/02/2023
Series 99TO - Operations Professional Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 08/07/2013
Series 3 - National Commodity Futures Examination
BC
Issued 04/22/2011
Series 44 - PCX Market Maker Exam
BC
Issued 09/16/2010
Series 7 - General Securities Representative Examination
Active
Inactive
F
FINRA
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