linkedInfacebook
For AdvisorsLog InContact Us
Invested Better
Unclaimed

Unclaimed

Unclaimed

Thomas Francis Carroll

Osaic Wealth, Inc.

Use our Financial Advisor Match Tool to find your ideal match.
UnclaimedThis information is unverified and unclaimed information. Are you Thomas? Claim Your Profile

About Thomas Francis Carroll

Thomas Carroll has been in the financial services industry since 1984. He is currently registered with Osaic Wealth, Inc. and Carroll Frank & Plotkin LLC in Maryland and California. Thomas has a strong background in investment advisory services, financial planning, and insurance sales. He also has experience in providing consulting services for 10B5-1 plans. Thomas is committed to providing his clients with personalized financial advice and guidance to help them achieve their financial goals.

Firm Information

Thomas Carroll is currently registered with Osaic Wealth, Inc.. Osaic Wealth, Inc. is a corporation headquartered in Scottsdale, AZ. The firm has been approved and operates as an investment advisor, offering financial planning, pension consulting, and educational seminars. Osaic Wealth, Inc. manages assets for individuals, businesses, and charitable organizations, and participates in wrap fee programs.
Osaic Wealth, Inc.

18700 N. HAYDEN ROAD

SCOTTSDALE, AZ 85255

$94.56B

Assets Under Management

39,691

Total Clients

8,460

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.

check

financial planning services

Comprehensive financial plans to help you achieve your personal and business goals.

check

pension consulting services

Guidance on pension options to ensure a secure financial future.

check

educational seminars & workshops

Seminars designed to boost your financial literacy and investment knowledge.

check

selection of other advisors

Helps you choose top advisors aligned with your financial goals.

check

portfolio management for businesses

Custom portfolio management strategies for businesses to achieve long-term growth.

check

portfolio management for individuals

Personalized portfolio management to meet individual financial objectives.

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.

check

fixed fees

Set rates for specific services, regardless of time or assets managed.

check

percentage of assets

A percentage of the total value of assets under management is charged.

Find Your Ideal Financial Advisor

1

Finding a financial advisor doesn’t have to be complicated. InvestedBetter’s free tool connects you with advisors who serve your area and fit your financial needs in just 5 minutes.

2

Your matches with an Advisor based on their qualifications and skills to help you achieve your financial goals. Get on the path to financial success today.

Thomas Carroll’s Registration & Firm History

MD

06/29/2011 - Present

Osaic Wealth, Inc. (PIKESVILLE MD)

NA

01/15/1987 - 11/19/1989

INTEGRATED RESOURCES EQUITY CORPORATION

NA

02/13/1984 - 12/22/1987

FSC SECURITIES CORPORATION

Not sure if Thomas Francis Carroll is right for you?

Licenses & Designations

BOTH

Issued 03/31/2006

Series 66 - Uniform Combined State Law Examination

BC

Issued 06/10/2000

Series 63 - Uniform Securities Agent State Law Examination

BC

Issued 12/03/1986

Series 24 - General Securities Principal Examination

BC

Issued 10/01/2018

SIE - Securities Industry Essentials Examination

BC

Issued 01/21/1984

Series 7 - General Securities Representative Examination

State Registrations

Active

Inactive

SRO Registrations

F

FINRA

Disclosures

There is public disclosure for Thomas Francis Carroll. Review regulatory record here.
Not sure if Thomas Francis Carroll is right for you?