Daniel Ashton Carroll
Professional Summary
Daniel Ashton Carroll, who also goes by Daniel S Carroll, is a registered financial advisor currently at BROOKLANDS CAPITAL STRATEGIES BD, LP located in San Francisco, California. Daniel is registered as a RR (Registered Representative) and started their career in finance in 1993. Daniel has worked at 3 firms and has passed the Series 63, SIE, Series 7 and Series 24 exams.
At a Glance
Fiduciary Standard
Fee Structure
Account Minimum
Active Clients
Fiduciary Standard
Fee Structure
Account Minimum
Active Clients
Other Aliases
Daniel S Carroll
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Videos & Posts
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Contact Information
This advisor has not claimed their profile yet, so there is no contact information to display at this time.
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OCCIDENTAL ASSET MANAGEMENT, LLC
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Disclosures on record.
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Years of Experience
15 years in the financial services industry
Current & Past Employments
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Current Firm
BROOKLANDS CAPITAL STRATEGIES BD, L.P. | BROOKLANDS CAPITAL STRATEGIES BD, LP | BROOKLANDS CAPITAL STRATEGIES BD, LLC
Contact Information
Main Address
1170 Gorgas Avenue, San Francisco, CA 94129Mailing Address
1170 Gorgas Avenue, San Francisco, CA 94129Phone Number
(415) 438-1200Established
Delaware since 01/12/2016Firm Type
PartnershipFiscal Year End
DecemberFirm Size
SmallFINRA licenses (51 States and Territories)
Registered to provide investment advisory services in 0 US states and territories.
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| BROOKLANDS CAPITAL STRATEGIES MANAGEMENT, L.P. | LIMITED PARTNER | — |
| BROOKLANDS CAPITAL STRATEGIES (GP), LLC | GENERAL PARTNER | — |
| CARROLL, DANIEL ASHTON | MANAGING PARTNER | 1549544 |
| DEMAYO, JILL ELLEN | CHIEF COMPLIANCE OFFICER | 2843305 |
| EKBERG, JEFFERY DAVID | FINOP | 6499537 |
| MCMILLAN, PETER HAMIL | CEO & MANAGING PARTNER | 1148731 |
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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.
The advisor shows no other business activity.
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State Registrations and Notice Filings
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Exams
Financial professionals may take different exams throughout their careers based on the types of services they provide and roles they perform.
SRO Registrations
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CRS (Client Relationship Summary) - BD
Click below to view Daniel Ashton Carroll's CRS (Customer Relationship Summary).
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