Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you Carroll? Claim Your ProfileCarroll David Swenson is a financial advisor registered with Truist Advisory Services, Inc. Carroll has been working in the industry since 1986 and is registered in the state of Virginia. Before working with Truist Advisory Services, Inc., Carroll was a financial advisor with Wells Fargo Clearing Services, LLC and First Union Brokerage Services, Inc. Carroll is qualified to provide financial advice for a wide range of clients, including high net worth individuals, corporations, and pension plans. Carroll's services include financial planning, portfolio management, and publication of periodicals. Carroll is also a registered investment advisor and has passed a number of industry exams including the Series 65, Series 63, Series 9, Series 10, Series 12, Series 4, Series 53, Series 24, Series 52TO, SIE, Series 3, and Series 7.
Advisors offer a broad range of advisory services designed to meet the unique needs of individuals, businesses, and investment companies. These services provide professional guidance and personalized strategies to help clients achieve their financial goals.
Comprehensive financial plans to help you achieve your personal and business goals.
Helps you choose top advisors aligned with your financial goals.
Custom portfolio management strategies for businesses to achieve long-term growth.
Personalized portfolio management to meet individual financial objectives.
Wrap fee product and financial profiling services using desktop software
Advisors may be compensated through a variety of fee structures, offering flexibility and transparency. This allows clients to choose the arrangement that best aligns with their financial objectives.
Set rates for specific services, regardless of time or assets managed.
A percentage of the total value of assets under management is charged.
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2
VA
08/29/2022 - Present
Truist Advisory Services, Inc. (RICHMOND VA)
VA
10/01/2000 - 05/02/2022
WELLS FARGO CLEARING SERVICES, LLC (RICHMOND VA)
NC
02/16/1998 - 10/01/2000
FIRST UNION BROKERAGE SERVICES, INC. (CHARLOTTE NC)
MO
07/18/2000 - 09/29/2000
FIRST UNION SECURITIES, INC. (ST. LOUIS MO)
NC
03/16/1990 - 02/17/1998
SIGNET FINANCIAL SERVICES,INC. (CHARLOTTE NC)
WI
06/09/1989 - 01/30/1990
INVEST FINANCIAL CORPORATION (APPLETON WI)
NA
09/24/1985 - 06/16/1989
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
IA
Issued 10/16/1996
Series 65 - Uniform Investment Adviser Law Examination
BC
Issued 9/26/1985
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 1/2/2023
Series 9 - General Securities Sales Supervisor - Options Module Examination
BC
Issued 1/2/2023
Series 10 - General Securities Sales Supervisor - General Module Examination
BC
Issued 8/31/2000
Series 12 - NYSE Branch Manager Examination
BC
Issued 12/9/1996
Series 4 - Registered Options Principal Examination
BC
Issued 9/1/1992
Series 53 - Municipal Securities Principal Examination
BC
Issued 8/16/1991
Series 24 - General Securities Principal Examination
BC
Issued 1/2/2023
Series 52TO - Municipal Securities Representative Examination
BC
Issued 10/1/2018
SIE - Securities Industry Essentials Examination
BC
Issued 10/11/2005
Series 3 - National Commodity Futures Examination
BC
Issued 9/21/1985
Series 7 - General Securities Representative Examination
Active
Inactive
F
FINRA
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