Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you Michael? Claim Your ProfileMichael Carroll is a financial professional with over 30 years of experience in the securities industry. He is currently registered with Transamerica Capital, Inc. and has held previous positions with Janus Distributors LLC and Intersecurities, Inc. Michael holds the Series 6, 26, and 63 licenses. He is active in Colorado and has been since September 1st, 2004.
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
CO
09/01/2004 - Present
Transamerica Capital, Inc. (DENVER CO)
CO
12/23/1992 - 08/31/2004
JANUS DISTRIBUTORS LLC (DENVER CO)
FL
01/01/1994 - 03/20/1996
INTERSECURITIES, INC. (ST. PETERSBURG FL)
BC
Issued 07/12/1993
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 09/15/1993
Series 26 - Investment Company Products/Variable Contracts Principal Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 04/08/1992
Series 6 - Investment Company Products/Variable Contracts Representative Examination
Active
Inactive
F
FINRA
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