Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you David? Claim Your ProfileDavid Allan Carroll is a financial advisor at Truist Securities, Inc. David has been in the financial services industry since May 14, 2002. David has Series 7, Series 63 and SIE licenses. David is registered in 52 states and the District of Columbia. David is also registered with FINRA and the SEC.
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.
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.
1
2
MA
04/07/2015 - Present
Truist Securities, Inc. (BOSTON MA)
NY
03/27/2009 - 04/06/2015
HSBC SECURITIES (USA) INC. (NEW YORK CITY NY)
CT
11/01/2007 - 10/29/2008
ABN AMRO INCORPORATED (STAMFORD CT)
NY
03/04/2002 - 07/16/2007
ABN AMRO INCORPORATED (NEW YORK NY)
CT
06/19/2001 - 12/19/2001
ABN AMRO INCORPORATED (STAMFORD CT)
BC
Issued 12/03/2001
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 01/02/2023
Series 79TO - Investment Banking Registered Representative Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 06/18/2001
Series 7 - General Securities Representative Examination
Active
Inactive
F
FINRA
N
Nasdaq Stock Market
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