Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you Thomas? Claim Your ProfileThomas Allen Carroll is a securities professional with over 19 years of experience in the industry. Currently, Thomas is a registered representative at Smbc Nikko Securities America, Inc., located in New York, NY. Thomas has held previous positions at HSBC Securities (USA) Inc. where they were registered from August 2003 to August 2015. Thomas holds the Series 7, Series 63, Series 79TO, and SIE licenses.
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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NY
07/26/2016 - Present
Smbc Nikko Securities America, Inc. (NEW YORK NY)
NY
08/01/2003 - 08/24/2015
HSBC SECURITIES (USA) INC. (NEW YORK CITY NY)
BC
Issued 01/07/2004
Series 63 - Uniform Securities Agent State Law 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 07/31/2003
Series 7 - General Securities Representative Examination
Active
Inactive
F
FINRA
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