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GLENN DOUGLAS CARROLL
CRD#: 4774917
IA
B
COLUMBIA MANAGEMENT INVESTMENT ADVISERS, LLCCRD#: 108257 Garden City, NY
COLUMBIA MANAGEMENT INVESTMENT DISTRIBUTORS, INC.CRD#: 840 Garden City, NY
0
Disclosures
20
Years of Experience
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State Registrations
B
New Jersey 1/29/2014
B
New York 9/14/2006
IA
New Jersey 1/31/2014
IA
New York 4/7/2021
SRO Registrations
B
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IA
Registered with this firm since 11/26/2008
B
Registered with this firm since 9/14/2006
| th hidden text | th hidden text | Name | Location |
|---|---|---|---|
B | 06/15/2005 - 09/05/2006 | JERICHO, NY | |
B | 06/18/2004 - 05/06/2005 | 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.
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.