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Timothy D. Carroll

Velocity Clearing, LLC

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About Timothy D. Carroll

Timothy D. Carroll is a financial advisor currently associated with Velocity Clearing, LLC. Timothy has over 29 years of experience in the financial services industry. His previous employers include J.P. Morgan Securities LLC, Stifel, Nicolaus & Company, Incorporated, Barclays Capital Inc., Lehman Brothers Inc., and Credit Lyonnais Securities (USA), Inc. Timothy holds Series 7, 9, 10, 63, 99TO and SIE licenses.

Firm Information

Timothy Carroll is currently registered with Velocity Clearing, LLC. Velocity Clearing, LLC is a Limited Liability Company formed in June 2010 and is approved to operate in all 50 states, the District of Columbia, Puerto Rico, and the Virgin Islands. The firm is registered with the SEC and has been involved in 4 regulatory events.

Not reported

Assets Under Management

Not reported

Total Clients

87

Total Financial Advisors

Services Offered

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.

Fee Structure

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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Timothy Carroll’s Registration & Firm History

NY

12/04/2023 - Present

Velocity Clearing, LLC (New York NY)

NY

12/15/2016 - 12/12/2023

J.P. MORGAN SECURITIES LLC (New York NY)

NY

12/04/2015 - 10/14/2016

STIFEL, NICOLAUS & COMPANY, INCORPORATED (NEW YORK NY)

NY

09/22/2008 - 12/04/2015

BARCLAYS CAPITAL INC. (NEW YORK NY)

NY

08/08/1996 - 09/22/2008

LEHMAN BROTHERS INC. (NEW YORK NY)

NY

07/28/1993 - 12/04/1995

CREDIT LYONNAIS SECURITIES (USA), INC. (NEW YORK NY)

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Licenses & Designations

BC

Issued 12/10/1997

Series 63 - Uniform Securities Agent State Law Examination

BC

Issued 01/02/2023

Series 9 - General Securities Sales Supervisor - Options Module Examination

BC

Issued 01/02/2023

Series 10 - General Securities Sales Supervisor - General Module Examination

BC

Issued 07/30/1998

Series 8 - General Securities Sales Supervisor Examination (Options Module & General Module)

BC

Issued 01/02/2023

Series 99TO - Operations Professional Examination

BC

Issued 10/01/2018

SIE - Securities Industry Essentials Examination

BC

Issued 02/09/1993

Series 7 - General Securities Representative Examination

State Registrations

Active

Inactive

SRO Registrations

C

Cboe BYX Exchange, Inc.

C

Cboe BZX Exchange, Inc.

C

Cboe EDGA Exchange, Inc.

C

Cboe EDGX Exchange, Inc.

C

Cboe Exchange, Inc.

F

FINRA

I

Investors' Exchange LLC

M

MEMX LLC

M

MIAX PEARL, LLC

N

NYSE Arca, Inc.

N

Nasdaq BX, Inc.

N

Nasdaq PHLX LLC

N

Nasdaq Stock Market

N

New York Stock Exchange

Disclosures

There are no public disclosures for Timothy D. Carroll.
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