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MARK ALLAN CARROLL
CRD#: 2538755
IA
B
LPL ENTERPRISE, LLCCRD#: 8733 10605 MEETING STREET
SUITE 101
PROSPECT, KY 40059
SUITE 101
PROSPECT, KY 40059
0
Disclosures
30
Years of Experience
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State Registrations
B
Alabama 11/14/2024
B
Michigan 11/14/2024
B
Arizona 11/14/2024
B
Missouri 11/14/2024
B
Colorado 11/14/2024
B
North Carolina 11/14/2024
B
Florida 11/15/2024
B
South Carolina 11/14/2024
B
Indiana 11/14/2024
B
Tennessee 11/14/2024
B
Kentucky 11/14/2024
B
Texas 11/14/2024
IA
Kentucky 11/14/2024
IA
Texas 11/14/2024
SRO Registrations
B
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IA
Registered with this firm since 11/14/2024
B
Registered with this firm since 11/14/2024
| th hidden text | th hidden text | Name | Location |
|---|---|---|---|
IA | 07/22/2011 - 11/14/2024 | PROSPECT, KY | |
B | 09/13/1994 - 11/14/2024 | PROSPECT, KY |
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B
Broker A brokerage firm, also called a broker-dealer, is in the business of buying and selling securities – stocks, bonds, mutual funds, and certain other investment products – on behalf of its customer (as broker), for its own bank (dealer), or both. Individuals who work for broker-dealers - the sales personnel are commonly referred to as brokers.
IA
Investment Adviser An investment adviser is paid for providing advice about securities to clients. In addition, some investment advisers manage investment portfolios and offer financial planning services.
Disclosures can be customer complaints or arbitrations, regulatory actions, employment terminations, bankruptcy filings and certain civil or criminal proceedings that they were a part of.