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Thomas M Carroll

Imperial Capital, LLC

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About Thomas M Carroll

Thomas M. Carroll is a registered representative with Imperial Capital, LLC, a broker-dealer registered with FINRA and the Securities and Exchange Commission (SEC). Thomas has been working in the financial services industry since March 2000. He holds the Series 6, 7, 63, 65, 86, 87, and SIE licenses. Thomas has been registered with Imperial Capital, LLC since September 2004. Thomas has a broad range of experience in the financial services industry, including experience working with individual investors, corporations, and institutions.

Firm Information

Thomas Carroll is currently registered with Imperial Capital, LLC. Imperial Capital, LLC is a Limited Liability Company formed in July 1997. The firm is registered in all 50 states and the District of Columbia. They have been approved for SEC registration and have two Regulatory Event disclosures and one Arbitration disclosure.

Not reported

Assets Under Management

Not reported

Total Clients

53

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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Thomas Carroll’s Registration & Firm History

CA

09/21/2004 - Present

Imperial Capital, LLC (LOS ANGELES CA)

RI

03/03/2000 - 10/07/2004

FIDELITY INVESTMENTS INSTITUTIONAL SERVICES COMPANY, INC. (SMITHFIELD RI)

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Licenses & Designations

IA

Issued 09/28/2006

Series 65 - Uniform Investment Adviser Law Examination

BC

Issued 03/23/2000

Series 63 - Uniform Securities Agent State Law Examination

BC

Issued 10/01/2018

SIE - Securities Industry Essentials Examination

BC

Issued 10/30/2006

Series 87 - Research Analyst Exam - Part II Regulations Module

BC

Issued 08/04/2006

Series 86 - Research Analyst Exam - Part I Analysis Module

BC

Issued 11/01/2004

Series 7 - General Securities Representative Examination

BC

Issued 03/02/2000

Series 6 - Investment Company Products/Variable Contracts Representative Examination

State Registrations

Active

Inactive

SRO Registrations

F

FINRA

N

Nasdaq Stock Market

Disclosures

There are no public disclosures for Thomas M Carroll.
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