Phillip A. Carroll
Professional summary
Being a previously registered professional could mean that this person is no longer operating under the supervision of the SEC or FINRA.
That means that the Securities and Exchange Commission may not be able to oversee the services that this specific professional is providing.
Phillip Anthony Carroll was a registered financial professional .
Phillip is a previously registered financial professional and started their career in finance in 1983. Phillip had worked at 13 firms and has passed the Series 65, Series 63, SIE, Series 7, Series 6 and Series 24 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
December 12, 2011 - January 20, 2017
VALMARK ADVISERS, INC.
December 7, 2011 - January 20, 2017
VALMARK SECURITIES, INC.
July 21, 2010 - November 2, 2011
THE HUNTINGTON INVESTMENT COMPANY
July 21, 2010 - November 2, 2011
THE HUNTINGTON INVESTMENT COMPANY
November 13, 2009 - July 16, 2010
PNC WEALTH MANAGEMENT LLC
November 13, 2009 - July 16, 2010
PNC WEALTH MANAGEMENT LLC
January 1, 2000 - November 13, 2009
NATCITY INVESTMENTS, INC.
September 1, 1999 - December 31, 2001
NATCITY INSURANCE SERVICES, INC.
August 3, 1998 - September 2, 1999
IFMG SECURITIES, INC.
June 1, 1996 - November 13, 2009
NATCITY INVESTMENTS, INC.
May 26, 1994 - August 3, 1998
INDEPENDENT FINANCIAL SECURITIES, INC.
February 16, 1994 - June 1, 1996
NATIONAL CITY INVESTMENTS CORPORATION
April 6, 1992 - February 10, 1994
CAL FED INVESTMENTS
November 10, 1989 - April 7, 1992
TRANSAMERICA SECURITIES SALES CORPORATION
January 16, 1989 - April 7, 1992
TRANSAMERICA FINANCIAL ADVISORS, INC.
May 23, 1983 - January 21, 1989
OSAIC FS, INC.
Primary Firm SEC Registration
VALMARK ADVISERS, INC.
CRD#: 108050 / SEC#: 801-55564
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
Visual representation of state registrations
Exams
Current Firm
VALMARK ADVISERS, INC.
CRD#: 108050 / SEC#: 801-55564
Contact information
SEC notice filing (52 States and Territories)
Regulatory assets under management
| Total Number of Accounts | 19,096 |
| AUM (Assets Under Management) | $ 8,379,181,235 |
Red Flags
Disclosures can be potential red flags, including customer disputes, regulatory fines, employer terminations, bankruptcies, judgments, liens, or certain criminal activities.
Check for any disclosures as part of your thorough research when choosing an advisor.
