Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you John? Claim Your ProfileJohn Carroll is a financial professional with over 27 years of experience in the industry. John is currently registered with Rothschild & Co. US Inc. and has been with the firm since August 2000. Previously, John was employed with CREDIT SUISSE FIRST BOSTON CORPORATION from July 1995 to July 2000. John holds a Series 63, Series 7, Series 14, Series 24, and Series 79TO. John holds a securities license in all 50 states.
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
08/09/2000 - Present
Rothschild & Co. US Inc. (NEW YORK NY)
NY
07/06/1995 - 07/11/2000
CREDIT SUISSE FIRST BOSTON CORPORATION (NEW YORK NY)
BC
Issued 10/28/2010
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 01/02/2023
Series 14 - Compliance Officer Examination
BC
Issued 06/11/1998
Series 24 - General Securities Principal Examination
BC
Issued 01/02/2023
Series 79TO - Investment Banking Registered Representative Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 06/15/1995
Series 7 - General Securities Representative Examination
Active
Inactive
F
FINRA
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