Robert P. Carroll

CETERA INVESTMENT ADVISERS LLC

EAST HARTFORD, CT 06108

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CRD#: 1470313

Professional summary

Robert Patrick Carroll Jr, who also goes by Bob Carroll, Robert Patrick Carroll Jr, Robert Patrick Carroll, is a registered financial advisor currently at CETERA INVESTMENT ADVISERS LLC located in East Hartford, Connecticut and CETERA INVESTMENT SERVICES LLC located in East Hartford, Connecticut.

Robert is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1986. Robert has worked at 10 firms and has passed the Series 66, Series 63, SIE, Series 7 and Series 24 exams.

Question & Answer

Are you a "fiduciary"?

Yes

Aliases

Bob Carroll | Robert Patrick Carroll Jr | Robert Patrick Carroll

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.

PARTNER UNITED STUDIOS OF SELF DEFENSE; 969 SO MAIN ST, CHESHIRE CT 06410

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Robert Patrick Carroll Jr's CRS (Customer Relationship Summary).

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®

None

Experience

Current

May 14, 2024 - Present

CETERA INVESTMENT ADVISERS LLC

Office #1: 111 Founders Plaza Suite 300, East Hartford, CT 06108

RIA

CRD#: 105644

EAST HARTFORD, CT

Current

May 14, 2024 - Present

CETERA INVESTMENT SERVICES LLC

Office #1: 111 Founders Plaza Suite 300, East Hartford, CT 06108

CRD#: 15340

East Hartford, CT

Past

September 21, 2016 - May 20, 2024

OSAIC INSTITUTIONS, INC.

RIA

CRD#: 35371

JEWETT CITY, CT

Past

June 12, 1995 - May 20, 2024

OSAIC INSTITUTIONS, INC.

CRD#: 35371

JEWETT CITY, CT

Past

August 1, 1994 - June 9, 1995

MARKETING ONE SECURITIES, INC.

CRD#: 16611

PORTLAND, OR

Past

April 28, 1994 - August 4, 1994

CAPITAL BROKERAGE CORPORATION

CRD#: 10465

GLEN ALLEN, VA

Past

February 11, 1992 - April 29, 1994

INTESA SANPAOLO IMI SECURITIES CORP.

CRD#: 19418

NEW YORK, NY

Past

March 22, 1991 - February 7, 1992

WALL STREET ACCESS

CRD#: 10012

NEW YORK, NY

Past

February 20, 1990 - March 21, 1991

ROYAL HUTTON SECURITIES CORP.

CRD#: 14489

NEW YORK, NY

Past

March 19, 1987 - February 12, 1990

INVEST FINANCIAL CORPORATION

CRD#: 12984

Past

June 9, 1986 - February 26, 1987

FAHNESTOCK INTERNATIONAL INC.

CRD#: 279

Past

March 19, 1986 - February 12, 1990

INVEST FINANCIAL CORPORATION

CRD#: 12984

APPLETON, WI

Primary Firm SEC Registration

This SEC-registered firm can serve clients nationwide. Some states may require the firm to submit a notice filing if the firm has more than 5 clients or a physical office there. You can view these state-level filings under the section titled "State Registrations and Notice Filings".

CETERA INVESTMENT ADVISERS LLC

CRD#: 105644 / SEC#: 801-20406

RIA

Registered Investment Advisory firm - (1/13/1984 Approved)

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.

indicates the advisor is registered as a Registered Representative in this state, allowing them to offer securities such as stocks, bonds, and mutual funds through a broker-dealer.

Visual representation of state registrations

Connecticut
(5/14/2024)

IAR

Connecticut
(5/14/2024)

Massachusetts
(5/14/2024)

New Hampshire
(5/14/2024)

New Jersey
(5/14/2024)

New York
(5/14/2024)

Vermont
(5/14/2024)

Don't see your state listed? The advisor may still be able to work with you under the federal De Minimis Rule, which allows up to five investment advisory clients in a state without registration. Some states, like TX, LA, NE, and NH, may still require registration or notice filing. Contact the advisor or their firm to confirm their investment advisory availability in your state. Note: This rule does not apply to broker-dealer activity.

Exams

State Security Law Exam

IAR

Series 66

Date: 9/20/2016

Uniform Combined State Law Examination

State Security Law Exam

Series 63

Date: 6/23/1986

Uniform Securities Agent State Law Examination

General Industry/Product Exam

SIE

Date: 10/1/2018

Securities Industry Essentials Examination

General Industry/Product Exam

Series 7

Date: 3/15/1986

General Securities Representative Examination

Principal/Supervisory Exam

Series 24

Date: 8/11/1994

General Securities Principal Examination

SRO Registrations

FINRA

Current Firm

CETERA INVESTMENT ADVISERS LLC

CRD#: 105644 / SEC#: 801-20406

RIA

Registered Investment Advisory firm - (1/13/1984 Approved)

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Contact information

Main Address

1450 American Lane 6th Floor, Suite 650, Schaumburg, IL 60173-2096

Mailing Address

Phone number

(310) 257-7880

Established

Firm type

Fiscal year end

# of Employees

7,705

SEC notice filing (53 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)

Latest Form ADV

Regulatory assets under management

Total Number of Accounts	584,487
AUM (Assets Under Management)	$ 163,792,814,520

Accountant surprise examination report

Filing Date	Form ADV-E Cover	Form ADV-E Report
10/27/2025	Cover Page	Report
12/13/2024	Cover Page	Report
09/26/2023	Cover Page	Report
11/18/2022	Cover Page	Report

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.

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Advisor Monitoring

Firm Stability Insights

Robert P. Carroll

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Robert Patrick Carroll Jr's CRS (Customer Relationship Summary).

Certified licenses

Experience

CETERA INVESTMENT SERVICES LLC

OSAIC INSTITUTIONS, INC.

OSAIC INSTITUTIONS, INC.

MARKETING ONE SECURITIES, INC.

CAPITAL BROKERAGE CORPORATION

INTESA SANPAOLO IMI SECURITIES CORP.

WALL STREET ACCESS

ROYAL HUTTON SECURITIES CORP.

INVEST FINANCIAL CORPORATION

FAHNESTOCK INTERNATIONAL INC.

INVEST FINANCIAL CORPORATION

Primary Firm SEC Registration

CETERA INVESTMENT ADVISERS LLC

State Registrations and Notice Filings

Exams

Series 66

Date: 9/20/2016

Series 63

Date: 6/23/1986

SIE

Date: 10/1/2018

Series 7

Date: 3/15/1986

Series 24

Date: 8/11/1994

FINRA

Current Firm

CETERA INVESTMENT ADVISERS LLC

Contact information

SEC notice filing (53 States and Territories)

Documents

Regulatory assets under management

Accountant surprise examination report

Red Flags

Company Information

CETERA INVESTMENT ADVISERS LLC

TRUST BUT VERIFY

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