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Kenroy Ricardo Carty

Merrill Lynch, Pierce, Fenner & Smith Incorporated

Chandler, AZ

Riverside, RI

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Current Employers
Merrill Lynch, Pierce, Fenner & Smith Incorporated

One Bryant Park, New York, NY 10036 • United States

Current Registrations

AuthorityCategoryStatusDate
TX RA APPROVED 2023-05-05
RI RA APPROVED 2023-05-04
  • TX RA
    APPROVED
    Since 2023-05-05
  • RI RA
    APPROVED
    Since 2023-05-04

Branch Locations

2555-2595 W Chandler Blvd Ci Client Services, Chandler, AZ 85224 • United States

3400 Pawtucket Ave Ci Client Services, Riverside, RI 02915 • 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
OrganizationCityStateFromTo
Merrill Lynch, Pierce, Fenner & Smith Incorporated Lincoln RI 01/2023 Present
Rohode Island Institute Middle College Providence RI 09/2022 12/2022
Long Bay High School Providenciales 10/2020 07/2022
Knox College Spalding 09/2012 08/2020
  • 01/2023 → Present
    Merrill Lynch, Pierce, Fenner & Smith Incorporated
    Lincoln, RI
  • 09/2022 → 12/2022
    Rohode Island Institute Middle College
    Providence, RI
  • 10/2020 → 07/2022
    Long Bay High School
    Providenciales
  • 09/2012 → 08/2020
    Knox College
    Spalding
Exams
CodeExamDate
S66 Uniform Combined State Law Examination 2023-05-03
  • S66 Uniform Combined State Law Examination
    2023-05-03
Other Names
  • Kenroy Carty

View on SEC IAPD

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Other Offices

J.P. MORGAN SECURITIES LLC · CHANDLER, AZ
EDWARD JONES · CHANDLER, AZ
LPL FINANCIAL LLC · CHANDLER, AZ
VAL VISTA CAPITAL MANAGEMENT, LLC · SUN LAKES, AZ
WELLS FARGO CLEARING SERVICES, LLC · CHANDLER, AZ
EDWARD JONES · SUN LAKES, AZ
STATE FARM INVESTMENT MANAGEMENT CORP. · Chandler, AZ
INDEPENDENT FINANCIAL GROUP, LLC · CHANDLER, AZ

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