PC
Patrick D. Carroll
WORLD EQUITY GROUP
Pebble Beach, CA
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CRD#: 1519415
PC
Professional summary
Patrick Dennis Carroll, CFP®, who also goes by Patrick D Carroll, is a registered financial advisor currently at WORLD EQUITY GROUP, INC. located in Pebble Beach, California.
Patrick is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1986. Patrick has worked at 3 firms and has passed the Series 66, Series 65, Series 63, SIE, Series 7, Series 3 and Series 24 exams.
Question & Answer
Are you a "fiduciary"?
Yes
Aliases
Patrick D 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.
PILLAR6 ADVISORS POSITION: Consultant NATURE: Pillar6 Advisors is a RIA, Roman Polnar, Principal. INVESTMENT RELATED: Yes NUMBER OF HOURS: 4 SECURITIES TRADING HOURS: 1 START DATE: 08/09/2022 ADDRESS: 75 Broadway, Suite 202, San Francisco CA 94111, United States DESCRIPTION: I've created a "Relative Strength" Model Portfolio for Roman to use with his clients at his discretion. I "meet" with him monthly (usually via Zoom) for 1.5 to 2 hours to discuss the model and the market indicators. We also will talk briefly over the phone a couple of times a month as needed. Total time spent is roughly 3-4 hours
CRS (Client Relationship Summary) - RIA
Click below to view Patrick Dennis Carroll's CRS (Customer Relationship Summary).
CRS (Client Relationship Summary) - BD
Click below to view Patrick Dennis 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®
Experience
Current
January 19, 2012 - Present
WORLD EQUITY GROUP, INC.
RIA
BD
CRD#: 29087
Pebble Beach, CA
Current
January 19, 2012 - Present
WORLD EQUITY GROUP, INC.
Office #1: 425 N Martingale Road Suite 1220, Schaumburg, IL 60173Office #2: 425 N Martingale Rd Suite 1220, Schaumburg, IL 60173RIA
BD
CRD#: 29087
Schaumburg, IL
Past
April 2, 2009 - December 9, 2011
RBC CAPITAL MARKETS, LLC
RIA
CRD#: 31194
SAN FRANCISCO, CA
Past
March 5, 2009 - December 9, 2011
RBC CAPITAL MARKETS, LLC
BD
CRD#: 31194
SAN FRANCISCO, CA
Past
March 2, 1998 - September 22, 2000
RBC CAPITAL MARKETS, LLC
BD
CRD#: 31194
NEW YORK, NY
Past
June 25, 1986 - March 2, 1998
DAIN RAUSCHER INCORPORATED
BD
CRD#: 7600
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".
WE
WORLD EQUITY GROUP, INC.
COMPASS ASSET MANAGEMENT | WORLD EQUITY GROUP, INC. | UNITED FINANCIAL GROUP INC. | PRAXIS WEALTH MANAGEMENT | MIDWAY WEALTH PARTNERS | MARTIN JAMES INVESTMENT & TAX MANAGEMENT LLC | INFINITY WEALTH MANAGEMENT, LLC | FOUR POINTS ADVISORY
CRD#: 29087 / SEC#: 801-56328, 8-44088
RIA
Registered Investment Advisory firm - SEC (3/26/1999 Approved)BD
Broker-Dealer Firm Regulated by FINRA (Chicago district office)
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.RR
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
RR
Arizona(3/13/2013)
IAR
Arizona(11/3/2016)
RR
California(1/20/2012)
IAR
California(1/20/2012)
IAR
Colorado(7/18/2017)
IAR
Delaware(7/24/2024)
IAR
Florida(5/3/2016)
IAR
Hawaii(11/1/2016)
RR
Hawaii(5/30/2024)
RR
Idaho(10/28/2021)
RR
Oregon(1/19/2012)
IAR
Oregon(1/19/2012)
IAR
Pennsylvania(7/16/2021)
IAR
Texas(11/3/2016)
IAR
Utah(12/4/2020)
IAR
Washington(1/20/2012)
RR
Washington(1/23/2012)
IAR
West Virginia(11/9/2016)
RR
West Virginia(5/31/2024)
Exams
State Security Law Exam
State Security Law Exam
State Security Law Exam
General Industry/Product Exam
General Industry/Product Exam
General Industry/Product Exam
Principal/Supervisory Exam
SRO Registrations
RR
FINRA
Current Firm
WE
WORLD EQUITY GROUP, INC.
COMPASS ASSET MANAGEMENT | WORLD EQUITY GROUP, INC. | UNITED FINANCIAL GROUP INC. | PRAXIS WEALTH MANAGEMENT | MIDWAY WEALTH PARTNERS | MARTIN JAMES INVESTMENT & TAX MANAGEMENT LLC | INFINITY WEALTH MANAGEMENT, LLC | FOUR POINTS ADVISORY
CRD#: 29087 / SEC#: 801-56328, 8-44088
RIA
Registered Investment Advisory firm - SEC (3/26/1999 Approved)BD
Broker-Dealer Firm Regulated by FINRA (Chicago district office)
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Contact information
Main Address
425 N Martingale Road Suite 1220, Schaumburg, IL 60173
Mailing Address
425 N Martingale Road Suite 1200, Schaumburg, IL 60173
Phone number
(847) 342-1700
Established
Illinois since 09/13/1991
Firm type
Corporation
Fiscal year end
December
Firm Size
Medium
# of Employees
170
SEC notice filing (51 States and Territories)
FINRA licenses (53 States and Territories)
Regulatory assets under management
| Total Number of Accounts | 3,151 |
| AUM (Assets Under Management) | $ 944,844,374 |
Disclosures
| Regulatory Event | 12 |
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.
