Stephen Joseph Carl

Current Employers

High Probability Advisors, Llc

167 Sully'S Trail Suite 300, Pittsford, NY 14534 • United States

Current Registrations

Authority	Category	Status	Date
NY	RA	APPROVED	2021-08-26

NY RA
APPROVED

Since 2021-08-26

Branch Locations

167 Sully'S Trail Suite 300, Pittsford, NY 14534 • United States

Disclosures

No disclosure categories reported as “Yes” on this SEC record.

Regulatory action No
Criminal No
Bankruptcy No
Civil judicial No
Bond No
Judgment / lien No
Investigation No
Customer complaint No
Termination No

Employment History

Organization	City	State	From	To
Howe & Rusling	Rochester	NY	01/2016	09/2017
High Probability Advisors, Llc	Pittsford	NY	11/2017	Present

01/2016 → 09/2017

Howe & Rusling

Rochester, NY
11/2017 → Present

High Probability Advisors, Llc

Pittsford, NY

Previous Registrations

2009-11-16 → 2014-07-22

Federated Securities Corp.

Rochester, NY
2009-04-15 → 2014-07-22

Federated Investment Counseling

Pittsburgh, PA
2009-02-04 → 2014-07-22

Federated Global Investment Management Corp.

Rochester, NY

Other Businesses

CARL GROUP ENTERPRISES, LLC. NOT INVESTMENT RELATED. 110 OFFICE PARK WAY, SUITE 130, PITTSFORD, NY 14534. HOLDING COMPANY FOR OWNERSHIP OF FRANCHISE RESTAURANT STORES. BOARD CHAIRMAN. START JULY 2011. 5 HOURS/MONTH; ZERO HOURS DURING SECURITIES TRADING HOURS. DIRECTOR BOARD ACTIVITIES.

Exams

Code	Exam	Date
S63	Uniform Securities Agent State Law Examination	2009-06-24
S65	Uniform Investment Adviser Law Examination	2000-05-09

S63 Uniform Securities Agent State Law Examination

2009-06-24
S65 Uniform Investment Adviser Law Examination

2000-05-09

View on SEC IAPD

Current Employers

High Probability Advisors, Llc

Disclosures

Employment History

Previous Registrations

Other Businesses

Exams

Other Firms

Other Investors

Other Offices

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