Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you Christopher? Claim Your ProfileChristopher Carroll has been in the financial services industry since July 1993 and is currently registered with Charles Schwab & Co., Inc.. Christopher is licensed to provide advisory services in 27 states, including Alabama, Arizona, California, Colorado, Connecticut, Delaware, District of Columbia, Florida, Georgia, Illinois, Kansas, Maine, Maryland, Massachusetts, New Jersey, New York, Pennsylvania, Rhode Island, South Carolina, Tennessee, Texas, Utah, Virginia, and Washington. Christopher's previous employers include TD Ameritrade, Inc., and Scottrade, Inc. Christopher is a licensed Series 63, 66, 7, 8, 9, 10 and SIE exam holder.
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.
Wrap fee program sponsor and financial planning advisor referral program
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.
Asset based fees for wrap pgrms & subsc pricing for fin planning
1
2
CT
01/26/2022 - Present
Charles Schwab & CO., Inc. (Fairfield CT)
CT
02/26/2018 - 07/29/2024
TD AMERITRADE, INC. (FAIRFIELD CT)
CT
09/15/2005 - 02/26/2018
SCOTTRADE, INC. (FAIRFIELD CT)
NE
07/28/1993 - 09/15/2005
TD WATERHOUSE INVESTOR SERVICES, INC. (OMAHA NE)
BOTH
Issued 07/11/2003
Series 66 - Uniform Combined State Law Examination
BC
Issued 08/27/1993
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 01/02/2023
Series 10 - General Securities Sales Supervisor - General Module Examination
BC
Issued 01/02/2023
Series 9 - General Securities Sales Supervisor - Options Module Examination
BC
Issued 01/10/1996
Series 8 - General Securities Sales Supervisor Examination (Options Module & General Module)
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 07/27/1993
Series 7 - General Securities Representative Examination
Active
Inactive
F
FINRA
N
Nasdaq Stock Market
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