Unclaimed Profile

Joseph Patrick Carroll

TRIAD FINANCIAL ADVISORS, INC.·GREENSBORO, North Carolina

Series 7, Series 63, Series 65Clean record7 years registeredTRIAD FINANCIAL ADVISORS, INC.

3623 N. ELM STREET, GREENSBORO, NC 27455CRD# 1441384Firm CRD# 118583

Profile Verification

Sourced · FINRA · SEC · CFP Board · Self-disclosed

Identity

Joseph Patrick Carroll · GREENSBORO, NC

Registration

CRD #1441384 · TRIAD FINANCIAL ADVISORS, INC. · 7 years registered

Brand Profile

Not yet started

Career History

No current investment adviser registration

Last registered firm: TRIAD FINANCIAL ADVISORS, INC.

TRIAD FINANCIAL ADVISORS, INC.

Mar 2019 – Jul 2019

GREENSBORO, NC

Registrations & Exams

FINRA examinations passed

Series 7

Series 63

Series 65

Registration record

First registered · March 1, 2019

Years registered · 7

Disclosure History

Clean record · no disclosure events on file

Source: SEC IAPD. Verify on FINRA BrokerCheck →

Firm Overview

Firm

TRIAD FINANCIAL ADVISORS, INC.

CRD 118583 · SEC 801-80645

AUM

$863M

Regulatory assets under management

Employees

2,470 client accounts

Services offered by TRIAD FINANCIAL ADVISORS, INC.

Per Form ADV

Financial planning

Portfolio management (individuals)

Security ratings or pricing services

Charitable organization or education services

Client types served by the firm

Per Form ADV

Individuals

High Net Worth Individuals

Nonprofits & Foundations

View all advisors at TRIAD FINANCIAL ADVISORS, INC. →

Introduction

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Frequently Asked Questions

What services does Joseph Patrick Carroll offer?

Joseph Patrick Carroll specializes in Financial Planning, Investment Management.

What are Joseph Patrick Carroll's credentials?

Joseph Patrick Carroll is a registered investment adviser representative. Check their firm's Form ADV filing for detailed qualification information.

Where is Joseph Patrick Carroll located?

Joseph Patrick Carroll is based in GREENSBORO, North Carolina, last registered with TRIAD FINANCIAL ADVISORS, INC..

How does Joseph Patrick Carroll charge for services?

Joseph Patrick Carroll's firm is compensated through percentage of aum, other: fee for monitoring 3rd party managers. Always review the firm's Form ADV Part 2 for complete fee details before engaging an advisor.

How large is TRIAD FINANCIAL ADVISORS, INC.?

TRIAD FINANCIAL ADVISORS, INC. has approximately 19 employees and manages $863M in regulatory assets under management. The firm is registered with the SEC as an investment adviser.

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