Unclaimed Profile

Thomas Patrick Carroll

THE CARROLL FINANCIAL GROUP, INC.·CINCINNATI, Ohio

Series 1, Series 2, Series 65Clean record26 years registeredTHE CARROLL FINANCIAL GROUP, INC.

2142 ALPINE PLACE, CINCINNATI, OH 45206CRD# 841753Firm CRD# 119451

Profile Verification

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

Identity

Thomas Patrick Carroll · CINCINNATI, OH

Registration

CRD #841753 · THE CARROLL FINANCIAL GROUP, INC. · 26 years registered

Brand Profile

Not yet started

Career History

No current investment adviser registration

Last registered firm: THE CARROLL FINANCIAL GROUP, INC.

CARNEGIE INVESTMENT COUNSEL

Jun 2013 – Apr 2018

PEPPER PIKE, OH

THE ALPINE FINANCIAL GROUP

Apr 2012 – May 2013

CINCINNATI, OH

THE ALPINE FINANCIAL GROUP

Apr 2000 – Dec 2011

CINCINNATI, OH

Registrations & Exams

FINRA examinations passed

Series 1

Series 2

Series 65

Registration record

First registered · April 26, 2000

Years registered · 26

Disclosure History

Clean record · no disclosure events on file

Source: SEC IAPD. Verify on FINRA BrokerCheck →

Firm Overview

Firm

THE CARROLL FINANCIAL GROUP, INC.

CRD 119451 · SEC 801-63897

AUM

$77M

Regulatory assets under management

Employees

369 client accounts

Services offered by THE CARROLL FINANCIAL GROUP, INC.

Per Form ADV

Financial planning

Portfolio management (individuals)

Client types served by the firm

Per Form ADV

Individuals

High Net Worth Individuals

View all advisors at THE CARROLL FINANCIAL GROUP, INC. →

Introduction

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Frequently Asked Questions

What services does Thomas Patrick Carroll offer?

Thomas Patrick Carroll specializes in Financial Planning, Investment Management.

What are Thomas Patrick Carroll's credentials?

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

Where is Thomas Patrick Carroll located?

Thomas Patrick Carroll is based in CINCINNATI, Ohio, last registered with THE CARROLL FINANCIAL GROUP, INC..

How does Thomas Patrick Carroll charge for services?

Thomas Patrick Carroll's firm is compensated through percentage of aum, hourly charges, subscription fees. Always review the firm's Form ADV Part 2 for complete fee details before engaging an advisor.

How large is THE CARROLL FINANCIAL GROUP, INC.?

THE CARROLL FINANCIAL GROUP, INC. has approximately 1 employees and manages $77M in regulatory assets under management. The firm is registered with the SEC as an investment adviser.

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