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JOHN EDWARD CARL
CRD#: 2905059
IA
B
ROCKEFELLER CAPITAL MANAGEMENTCRD#: 291361 321 Broadway
Saratoga Springs, NY 12866
Saratoga Springs, NY 12866
0
Disclosures
27
Years of Experience
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State Registrations
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Alabama 1/31/2025
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Nebraska 1/31/2025
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Arizona 1/31/2025
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Nevada 1/31/2025
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Arkansas 1/31/2025
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New Hampshire 1/31/2025
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California 1/31/2025
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New Jersey 1/31/2025
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Colorado 1/31/2025
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New Mexico 1/31/2025
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Connecticut 1/31/2025
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New York 1/31/2025
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Delaware 1/31/2025
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New York 1/31/2025
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District of Columbia 1/31/2025
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North Carolina 2/27/2025
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Florida 1/31/2025
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Ohio 1/31/2025
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Georgia 1/31/2025
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Oregon 1/31/2025
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Hawaii 1/31/2025
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Pennsylvania 1/31/2025
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Idaho 1/31/2025
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Rhode Island 2/11/2025
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Illinois 1/31/2025
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South Carolina 1/31/2025
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Indiana 1/31/2025
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South Dakota 1/31/2025
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Kansas 1/31/2025
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Tennessee 1/31/2025
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Kentucky 1/31/2025
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Texas 1/31/2025
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Louisiana 1/31/2025
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Texas 1/31/2025
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Maine 1/31/2025
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Utah 1/31/2025
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Maryland 1/31/2025
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Vermont 1/31/2025
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Michigan 1/31/2025
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Virginia 1/31/2025
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Minnesota 1/31/2025
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Washington 1/31/2025
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Mississippi 1/31/2025
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Wisconsin 1/31/2025
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Missouri 1/31/2025
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Wyoming 1/31/2025
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Montana 1/31/2025
SRO Registrations
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View Exams Passed by the individual in the detailed report
Learn about permitted activities of registered representatives
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Registered with this firm since 1/31/2025
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Registered with this firm since 1/31/2025
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Registered with this firm since 1/31/2025
| th hidden text | th hidden text | Name | Location |
|---|---|---|---|
IA | 09/21/2015 - 02/24/2025 | ALBANY, NY | |
B | 09/03/2015 - 02/24/2025 | ALBANY, NY | |
B | 06/01/2009 - 09/15/2015 | SARATOGA SPRINGS, NY | |
B | 03/13/2009 - 06/01/2009 | SARATOGA SPRINGS, NY | |
B | 07/01/2003 - 03/25/2009 | LATHAM, NY | |
B | 04/05/2000 - 07/01/2003 | NEW YORK, NY | |
B | 09/18/1997 - 04/12/2000 | NEW YORK, NY |
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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.
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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.
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