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Paul Thomas Carroll

PINNACLE FAMILY ADVISORS, LLC·SPRINGFIELD, Missouri
SIE, Series 6, Series 7, Series 63, Series 65, Series 99TOClean record23 years registeredPINNACLE FAMILY ADVISORS, LLC
620 W. REPUBLIC ROAD, SPRINGFIELD, MO 65807CRD# 2229563Firm CRD# 145628

Profile Verification

Sourced · FINRA · SEC · CFP Board · Self-disclosed
Identity
Paul Thomas Carroll · SPRINGFIELD, MO
Registration
CRD #2229563 · PINNACLE FAMILY ADVISORS, LLC · 23 years registered
Brand Profile
Not yet started
01

Career History

PINNACLE FAMILY ADVISORS, LLC
Apr 2009 – present
RAYMOND JAMES FINANCIAL SERVICES
Jan 2006 – Nov 2008
SPRINGFIELD, MO
WACHOVIA SECURITIES, LLC
Jun 2003 – Dec 2005
NEW PHILADELPHIA, OH
02

Registrations & Exams

FINRA examinations passed
SIE
Series 6
Series 7
Series 63
Series 65
Series 99TO
Registration record
First registered · June 10, 2003
Years registered · 23
03

Disclosure History

Clean record · no disclosure events on file

Source: SEC IAPD. Verify on FINRA BrokerCheck →

04

Firm Overview

Firm
PINNACLE FAMILY ADVISORS, LLC
CRD 145628 · SEC 801-78013
AUM
$272M
Regulatory assets under management
Employees
13
1,730 client accounts
Services offered by PINNACLE FAMILY ADVISORS, LLC
Per Form ADV
Financial planning
Portfolio management (individuals)
Portfolio management (pooled investments)
Selection of other advisers
Publication of periodicals/newsletters
Security ratings or pricing services
Market timing services
Other
Client types served by the firm
Per Form ADV
Individuals
Institutional Investors
High Net Worth Individuals
View all advisors at PINNACLE FAMILY ADVISORS, LLC →
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05

Frequently Asked Questions

What services does Paul Thomas Carroll offer?
Paul Thomas Carroll specializes in Financial Planning, Investment Management, Wealth Management. Contact their office in SPRINGFIELD, Missouri for a consultation.
What are Paul Thomas Carroll's credentials?
Paul Thomas Carroll is a registered investment adviser representative. Check their firm's Form ADV filing for detailed qualification information.
Where is Paul Thomas Carroll located?
Paul Thomas Carroll is based in SPRINGFIELD, Missouri, working with PINNACLE FAMILY ADVISORS, LLC. Their office serves clients in the SPRINGFIELD metropolitan area and surrounding communities.
How does Paul Thomas Carroll charge for services?
Paul Thomas Carroll's firm is compensated through percentage of aum, hourly charges, fixed fees, subscription fees, other: shares in fees paid to third party advisers; % of plan assets. Always review the firm's Form ADV Part 2 for complete fee details before engaging an advisor.
How large is PINNACLE FAMILY ADVISORS, LLC?
PINNACLE FAMILY ADVISORS, LLC has approximately 13 employees and manages $272M in regulatory assets under management. The firm is registered with the SEC as an investment adviser.
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Other Advisors at PINNACLE FAMILY ADVISORS, LLC

Charles Thomas Kohout
SPRINGFIELD, MO
Ronald Sean Mccurry
SPRINGFIELD, MO

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