Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you Kevin? Claim Your ProfileKevin Thomas Carroll is an investment advisor representative with TCW Investment Management Co. LLC. Kevin has been in the industry for over 15 years. Kevin has a wide range of experience working with individuals, businesses, pooled investment vehicles, investment companies, and insurance companies. Kevin holds the Series 3, 7, 63, and 65 licenses. Kevin was previously with NUVEEN SECURITIES, LLC, AGINCOURT, LTD., BARCLAYS CAPITAL INC., LEHMAN BROTHERS INC., and ROSENTHAL GLOBAL SECURITIES LLC.
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.
Custom portfolio management strategies for businesses to achieve long-term growth.
Personalized portfolio management to meet individual financial objectives.
Strategic management for diversified investment portfolios.
Portfolio management for wrap fee programs
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.
A percentage of the total value of assets under management is charged.
Fees calculated based on the performance of your investments relative to a benchmark.
1
2
IL
11/07/2014 - Present
TCW Investment Management Co. LLC (CHICAGO IL)
IL
12/05/2011 - 10/13/2014
NUVEEN SECURITIES, LLC (CHICAGO IL)
NA
12/13/2010 - 12/31/2010
AGINCOURT, LTD. (PEMBROKE )
IL
09/22/2008 - 11/20/2008
BARCLAYS CAPITAL INC. (CHICAGO IL)
IL
11/07/2005 - 09/22/2008
LEHMAN BROTHERS INC. (CHICAGO IL)
IL
09/10/2004 - 10/21/2005
ROSENTHAL GLOBAL SECURITIES LLC (CHICAGO IL)
IA
Issued 01/20/2012
Series 65 - Uniform Investment Adviser Law Examination
BC
Issued 12/08/2005
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 03/20/2006
Series 3 - National Commodity Futures Examination
BC
Issued 09/09/2004
Series 7 - General Securities Representative Examination
Active
Inactive
F
FINRA
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