Our Staff has compiled our research into a database of FINRA Broker Disclosures for Carty & Company, Inc.. Search or filter the database to find more about a specific broker.
Search by Name, CRD, Disclosures, or Damages:
| Name | CRD | Total Disclosures | Filing Date | Disclosure Type | Disclosure Status | Damages Requested | Damages Granted | FINRA Reports |
|---|---|---|---|---|---|---|---|---|
| Stephen Leonard Shields | 7739084 | 9 | 09/20/2023 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| Rush Flowers Harding | 501131 | 3 | 05/16/2023 | Regulatory | Final | $0.00 | $0.00 | See FINRA Report |
| Reginald Damon Todd | 3154338 | 11 | 12/27/2022 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| Rush Flowers Harding | 501131 | 3 | 08/26/2021 | Regulatory | Final | $0.00 | $0.00 | See FINRA Report |
| Tony Laray Holman | 5224850 | 1 | 01/18/2019 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| Reginald Damon Todd | 3154338 | 11 | 06/03/2015 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| William Tackett Middleton | 5225010 | 1 | 01/22/2015 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| Billy Randolph Carty | 42297 | 13 | 12/20/1999 | Regulatory | Final | $0.00 | $0.00 | See FINRA Report |
| Billy Randolph Carty | 42297 | 13 | 01/01/1989 | Regulatory | Final | $0.00 | $0.00 | See FINRA Report |
| Billy Randolph Carty | 42297 | 13 | 07/28/1988 | Regulatory | Final | $0.00 | $0.00 | See FINRA Report |