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David Joseph Carroll

Kestra Investment Services, LLC

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About David Joseph Carroll

David Carroll has been in the financial services industry since 1993. David is currently registered with Kestra Investment Services, LLC. David is registered to provide securities-related services in 26 states and is a registered representative of Kestra Investment Services, LLC. David has passed the Series 7, Series 63, and Series 65 exams and is also qualified to sell investment products through the Securities Industry Essentials (SIE) exam. David holds licenses to sell investment products in 26 states and is currently not registered to provide investment advisory services in any states. Prior to Kestra Investment Services, LLC, David was registered with M HOLDINGS SECURITIES, INC., NORTHWESTERN MUTUAL INVESTMENT SERVICES, LLC, MUTUAL SERVICE CORPORATION, and JOHN HANCOCK MUTUAL LIFE INSURANCE COMPANY.

Firm Information

David Carroll is currently registered with Kestra Investment Services, LLC. Kestra Investment Services, LLC is a Limited Liability Company formed in September 2014 and is registered with the SEC and in all 50 states, as well as the District of Columbia, Puerto Rico, and the Virgin Islands. The firm has been involved in 14 regulatory events and 2 arbitrations.

Not reported

Assets Under Management

Not reported

Total Clients

302

Total Financial Advisors

Services Offered

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.

Fee Structure

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.

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David Carroll’s Registration & Firm History

CA

07/03/2006 - Present

Kestra Investment Services, LLC (Palo Alto CA)

MA

01/02/2001 - 07/03/2006

M HOLDINGS SECURITIES, INC. (BOSTON MA)

WI

07/10/2001 - 03/17/2004

NORTHWESTERN MUTUAL INVESTMENT SERVICES, LLC (MILWAUKEE WI)

MA

04/09/1997 - 01/05/2001

MUTUAL SERVICE CORPORATION (BOSTON MA)

MA

06/21/1993 - 02/14/1997

JOHN HANCOCK MUTUAL LIFE INSURANCE COMPANY (BOSTON MA)

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Licenses & Designations

IA

Issued 07/20/1999

Series 65 - Uniform Investment Adviser Law Examination

BC

Issued 11/07/1997

Series 63 - Uniform Securities Agent State Law Examination

BC

Issued 10/01/2018

SIE - Securities Industry Essentials Examination

BC

Issued 06/18/1993

Series 7 - General Securities Representative Examination

State Registrations

Active

Inactive

SRO Registrations

F

FINRA

Disclosures

There are no public disclosures for David Joseph Carroll.
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