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 with Truist Advisory Services, Inc. located in Richmond, VA. Carroll has been in the financial industry since 1985 and holds several licenses and registrations. Carroll is able to provide financial advice to individuals, businesses and high-net-worth individuals.
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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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 09/26/1985
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 01/02/2023
Series 9 - General Securities Sales Supervisor - Options Module Examination
BC
Issued 01/02/2023
Series 10 - General Securities Sales Supervisor - General Module Examination
BC
Issued 08/31/2000
Series 12 - NYSE Branch Manager Examination
BC
Issued 12/09/1996
Series 4 - Registered Options Principal Examination
BC
Issued 09/01/1992
Series 53 - Municipal Securities Principal Examination
BC
Issued 08/16/1991
Series 24 - General Securities Principal Examination
BC
Issued 01/02/2023
Series 52TO - Municipal Securities Representative Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 10/11/2005
Series 3 - National Commodity Futures Examination
BC
Issued 09/21/1985
Series 7 - General Securities Representative Examination
Active
Inactive
F
FINRA
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