TC
Thomas A. Carroll
SUMMIT INVESTMENT MANAGEMENT, LTD.
Greenfield, WI 53220
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CRD#: 1250196
TC
Professional summary
Thomas Andrew Carroll is a registered financial advisor currently at SUMMIT INVESTMENT MANAGEMENT, LTD. located in Greenfield, Wisconsin.
Thomas is registered as an IAR (Investment Advisor Representative) and started their career in finance in 1984. Thomas has worked at 2 firms and has passed the Series 6 and Series 26 exams.
Question & Answer
Are you a "fiduciary"?
Yes
Aliases
None
Other business activities
Outside business activity is any business or activity undertaken by an advisor that is outside the scope of their relationship with their firm (e.g., consulting services, real estate, freelance work, teaching, etc.). Investors should stay informed about these activities to ensure no conflicts of interest.
1. NONE OF THE FOLLOWING ARE INVESTMENT RELATED - SOUTHEAST WISCONSIN PROCESS, LLC - 707 W. MOORELAND BLVD, STE 2, WAUKESHA, WI - PROCESS SERVING, MEMBER SINCE 03/2006, LESS THAN 2 HOURS A MONTH.
CRS (Client Relationship Summary) - RIA
Click below to view Thomas Andrew Carroll's CRS (Customer Relationship Summary).
Certified licenses
Advisors may have various certifications and credentials from different organizations. AdvisorCheck highlights these seven certifications - AIF®, CFP®, ChFC®, CFA, CLU®, CIMA®, CPWA®
NoneExperience
Current
September 6, 2012 - Present
SUMMIT INVESTMENT MANAGEMENT, LTD.
Office #1: 5005 W. Loomis Rd. Suite 200, Greenfield, WI 53220RIA
CRD#: 110188
Greenfield, WI
Past
July 11, 1984 - October 31, 2001
NORTHWESTERN MUTUAL INVESTMENT SERVICES, LLC
BD
CRD#: 2881
MILWAUKEE, WI
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
IAR
means the advisor is registered as an Investment Advisor Representative in this state and is authorized to provide investment advice to clients there.Highlighted states indicate IAR registrations
IAR
California(4/16/2020)
IAR
Florida(11/26/2012)
IAR
Georgia(7/2/2025)
IAR
Illinois(1/7/2014)
IAR
Indiana(7/9/2025)
IAR
New York(6/11/2025)
IAR
North Carolina(7/8/2025)
IAR
Ohio(7/2/2023)
IAR
Virginia(7/23/2024)
IAR
Washington(8/11/2025)
IAR
Wisconsin(9/6/2012)
Exams
General Industry/Product Exam
Principal/Supervisory Exam
Current Firm
SI
SUMMIT INVESTMENT MANAGEMENT, LTD.
CATHOLIC INVESTMENT STRATEGIES | SUMMIT INVESTMENT MANAGEMENT, LTD.
CRD#: 110188 / SEC#: 801-28843
RIA
Registered Investment Advisory firm - (4/30/2012 Terminated)California
Registered Investment Advisory firm - (4/15/2020 Approved)Colorado
Registered Investment Advisory firm - (9/25/2025 Approved)Florida
Registered Investment Advisory firm - (11/21/2012 Approved)Georgia
Registered Investment Advisory firm - (7/2/2025 Approved)Illinois
Registered Investment Advisory firm - (4/26/2012 Approved)Indiana
Registered Investment Advisory firm - (7/9/2025 Approved)Minnesota
Registered Investment Advisory firm - (11/20/2015 Terminated)New York
Registered Investment Advisory firm - (6/11/2025 Approved)North Carolina
Registered Investment Advisory firm - (4/15/2025 Approved)Ohio
Registered Investment Advisory firm - (7/2/2023 Approved)Texas
Registered Investment Advisory firm - (3/1/2012 Conditional Restricted)Virginia
Registered Investment Advisory firm - (7/23/2024 Approved)Washington
Registered Investment Advisory firm - (7/1/2025 Approved)Wisconsin
Registered Investment Advisory firm - (2/29/2012 Approved)Upgrade to AdvisorCheck Premium
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Contact information
Main Address
5005 W. Loomis Rd. Suite 200, Greenfield, WI 53220
Mailing Address
Phone number
(414) 291-4488
Established
Firm type
Fiscal year end
# of Employees
5
Regulatory assets under management
| Total Number of Accounts | 352 |
| AUM (Assets Under Management) | $ 82,881,817 |
Red Flags
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Company Information
SUMMIT INVESTMENT MANAGEMENT, LTD.
CRD#: 110188Greenfield, WI 53220TRUST BUT VERIFY
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