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This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you Robert? Claim Your ProfileRobert Patrick Carroll is a financial advisor with Cetera Investment Advisers LLC. Robert has been in the financial services industry since 1986 and has a broad range of experience. Robert is registered with the state of Connecticut and New York and holds the Series 7, Series 24, Series 63 and Series 66 licenses. Robert has previously worked with OSAIC INSTITUTIONS, INC., MARKETING ONE SECURITIES, INC., GNA SECURITIES, INC., BANCA IMI SECURITIES CORP., WALL STREET INVESTOR SERVICES, FINANCIAL SERVICES MARKETING, INC., INVEST FINANCIAL CORPORATION, and FAHNESTOCK & CO. INC. Cetera Investment Advisers LLC is a registered investment advisor with the Securities and Exchange Commission (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.
Comprehensive financial plans to help you achieve your personal and business goals.
Guidance on pension options to ensure a secure financial future.
Seminars designed to boost your financial literacy and investment knowledge.
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.
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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2
CT
05/14/2024 - Present
Cetera Investment Advisers LLC (EAST HARTFORD CT)
CT
06/12/1995 - 05/20/2024
OSAIC INSTITUTIONS, INC. (JEWETT CITY CT)
OR
08/01/1994 - 06/09/1995
MARKETING ONE SECURITIES, INC. (PORTLAND OR)
VA
04/28/1994 - 08/04/1994
GNA SECURITIES, INC. (GLEN ALLEN VA)
NY
02/11/1992 - 04/29/1994
BANCA IMI SECURITIES CORP. (NEW YORK NY)
NY
03/22/1991 - 02/07/1992
WALL STREET INVESTOR SERVICES (NEW YORK NY)
NY
02/20/1990 - 03/21/1991
FINANCIAL SERVICES MARKETING, INC. (NEW YORK NY)
NA
03/19/1987 - 02/12/1990
INVEST FINANCIAL CORPORATION
WI
03/19/1986 - 02/12/1990
INVEST FINANCIAL CORPORATION (APPLETON WI)
NA
06/09/1986 - 02/26/1987
FAHNESTOCK & CO. INC.
BOTH
Issued 9/20/2016
Series 66 - Uniform Combined State Law Examination
BC
Issued 6/23/1986
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 8/11/1994
Series 24 - General Securities Principal Examination
BC
Issued 10/1/2018
SIE - Securities Industry Essentials Examination
BC
Issued 3/15/1986
Series 7 - General Securities Representative Examination
Active
Inactive
F
FINRA
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