Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you Michael? Claim Your ProfileMichael William Carroll is a registered representative with TD Securities (usa) LLC. Michael has been in the financial industry since 2004. Michael is licensed to sell securities in the state of New York and has passed the Series 7, Series 11, and Series 63 exams. Michael has previous experience with TD Securities (USA) Inc., BMO Nesbitt Burns Corp., Nesbitt Burns Securities Inc., CIBC Wood Gundy Securities Corp., and S.G. Warburg & Co. 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
NY
05/04/2010 - Present
TD Securities (usa) LLC (NEW YORK NY)
NY
05/31/2002 - 12/20/2002
TD SECURITIES (USA) INC. (NEW YORK NY)
IL
11/29/2000 - 03/09/2001
BMO NESBITT BURNS CORP. (CHICAGO IL)
IL
05/20/1999 - 10/25/1999
NESBITT BURNS SECURITIES INC. (CHICAGO IL)
NY
01/01/1996 - 07/31/1997
CIBC WOOD GUNDY SECURITIES CORP. (NEW YORK NY)
NY
06/19/1992 - 12/01/1995
S.G. WARBURG & CO. INC. (NEW YORK NY)
BC
Issued 11/16/1992
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 05/03/2010
Series 11 - Assistant Representative-Order Processing Qualification Exam
BC
Issued 09/04/1992
Series 7 - General Securities Representative Examination
Active
Inactive
F
FINRA
N
Nasdaq Stock Market
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