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This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you Thomas? Claim Your ProfileThomas Carroll is a financial advisor with Verus Capital Partners, LLC. Thomas is a registered Investment Advisor Representative in California. Thomas has been working in the financial services industry for over 25 years. Thomas has experience providing financial advice to a wide range of clients, including individuals, families, businesses, and charitable organizations. Thomas is committed to providing personalized financial advice and helping his clients achieve their financial goals. He has held previous positions with Securities America, Inc., LPL Financial LLC, Merrill Lynch, Pierce, Fenner & Smith Incorporated, Wells Fargo Investments, LLC, and Wells Fargo Securities, Inc.. Thomas holds the Series 6, 7, 24, 63, and 65 licenses as well as the SIE and Series 99TO exams. Thomas is a member of the Provident Financial Group.
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
CA
02/17/2021 - Present
Verus Capital Partners, LLC (Ventura CA)
CA
12/01/2014 - 02/16/2021
SECURITIES AMERICA, INC. (VENTURA CA)
CA
10/30/2009 - 12/17/2014
LPL FINANCIAL LLC (VENTURA CA)
CA
06/27/2005 - 11/03/2009
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED (OXNARD CA)
CA
05/02/2001 - 07/05/2005
WELLS FARGO INVESTMENTS, LLC (SAN FRANCISCO CA)
CA
07/12/1996 - 05/02/2001
WELLS FARGO SECURITIES INC. (SAN FRANCISCO CA)
IA
Issued 03/24/1998
Series 65 - Uniform Investment Adviser Law Examination
BC
Issued 07/22/1996
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 09/22/1998
Series 24 - General Securities Principal Examination
BC
Issued 01/02/2023
Series 99TO - Operations Professional Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 12/16/1996
Series 7 - General Securities Representative Examination
BC
Issued 07/11/1996
Series 6 - Investment Company Products/Variable Contracts Representative Examination
Active
Inactive
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