DC
Daniel A. Carroll
BROOKLANDS CAPITAL STRATEGIES BD, LP
SAN FRANCISCO, CA 94129
Some features on this profile are disabled
CRD#: 1549544
DC
Professional summary
Daniel Ashton Carroll, who also goes by Daniel S Carroll, is a registered financial professional 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.
Question & Answer
Are you a "fiduciary"?
No
Aliases
Daniel S 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.
The advisor shows no other business activity.
CRS (Client Relationship Summary) - BD
Click below to view Daniel Ashton 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
August 30, 2016 - Present
BROOKLANDS CAPITAL STRATEGIES BD, LP
Office #1: 1170 Gorgas Avenue, San Francisco, CA 94129BD
CRD#: 281951
SAN FRANCISCO, CA
Past
June 11, 2014 - October 13, 2016
TPG CAPITAL BD, LLC
BD
CRD#: 143876
SAN FRANCISCO, CA
Past
February 22, 1993 - November 8, 1995
HAMBRECHT & QUIST LLC
BD
CRD#: 940
SAN FRANCISCO, CA
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
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
Alabama(10/19/2016)
RR
Alaska(10/13/2016)
RR
Arizona(10/13/2016)
RR
Arkansas(10/13/2016)
RR
California(9/19/2016)
RR
Colorado(10/13/2016)
RR
Connecticut(10/13/2016)
RR
Delaware(10/13/2016)
RR
District of Columbia(10/13/2016)
RR
Florida(10/13/2016)
RR
Georgia(9/29/2016)
RR
Hawaii(10/13/2016)
RR
Idaho(10/13/2016)
RR
Illinois(9/30/2016)
RR
Indiana(9/21/2016)
RR
Iowa(10/13/2016)
RR
Kansas(10/13/2016)
RR
Kentucky(10/13/2016)
RR
Louisiana(10/19/2016)
RR
Maine(10/13/2016)
RR
Maryland(10/13/2016)
RR
Massachusetts(10/3/2016)
RR
Michigan(10/13/2016)
RR
Minnesota(11/18/2016)
RR
Mississippi(10/13/2016)
RR
Missouri(10/13/2016)
RR
Montana(10/13/2016)
RR
Nebraska(10/13/2016)
RR
Nevada(10/13/2016)
RR
New Hampshire(10/13/2016)
RR
New Jersey(10/13/2016)
RR
New Mexico(10/13/2016)
RR
New York(10/13/2016)
RR
North Carolina(10/13/2016)
RR
North Dakota(10/13/2016)
RR
Ohio(10/13/2016)
RR
Oklahoma(10/13/2016)
RR
Oregon(10/13/2016)
RR
Pennsylvania(10/13/2016)
RR
Rhode Island(11/16/2016)
RR
South Carolina(10/13/2016)
RR
South Dakota(9/21/2016)
RR
Tennessee(9/20/2016)
RR
Texas(10/13/2016)
RR
Utah(10/13/2016)
RR
Vermont(10/13/2016)
RR
Virginia(10/13/2016)
RR
Washington(10/13/2016)
RR
West Virginia(10/13/2016)
RR
Wisconsin(10/13/2016)
RR
Wyoming(10/13/2016)
Exams
State Security Law Exam
General Industry/Product Exam
General Industry/Product Exam
Principal/Supervisory Exam
SRO Registrations
RR
FINRA
Current Firm
BC
BROOKLANDS CAPITAL STRATEGIES BD, LP
BROOKLANDS CAPITAL STRATEGIES BD, L.P. | BROOKLANDS CAPITAL STRATEGIES BD, LP | BROOKLANDS CAPITAL STRATEGIES BD, LLC
CRD#: 281951 / SEC#: , 8-69696
BD
Broker-Dealer Firm Regulated by FINRA (San Francisco district office)
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Contact information
Main Address
1170 Gorgas Avenue, San Francisco, CA 94129
Mailing Address
1170 Gorgas Avenue, San Francisco, CA 94129
Phone number
(415) 438-1200
Established
Delaware since 01/12/2016
Firm type
Partnership
Fiscal year end
December
Firm Size
Small
# of Employees
FINRA licenses (51 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 |
Red Flags
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Check for any disclosures as part of your thorough research when choosing an advisor.
Company Information
BROOKLANDS CAPITAL STRATEGIES BD, LP
CRD#: 281951San Francisco, CA 94129TRUST BUT VERIFY
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