Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you Timothy? Claim Your ProfileTimothy M Carroll is a financial advisor with Imperial Capital, LLC. Timothy has been in the industry for over 20 years. Timothy is licensed in 20 states and holds a Series 7, Series 55, SIE, and Series 57TO licenses. Timothy's current office is in Los Angeles, CA.
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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CA
10/24/2001 - Present
Imperial Capital, LLC (LOS ANGELES CA)
BC
Issued 03/11/2002
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 01/02/2023
Series 57TO - Securities Trader Exam
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 06/04/2002
Series 55 - Limited Representative-Equity Trader Exam
BC
Issued 10/23/2001
Series 7 - General Securities Representative Examination
Active
Inactive
F
FINRA
N
Nasdaq Stock Market
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