David D. Carroll
TREK FINANCIAL
Scottsdale, AZ 85255
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CRD#: 1801652
Professional summary
David Duncan Carroll, CFP® is a registered financial advisor currently at TREK FINANCIAL located in Scottsdale, Arizona.
David is registered as an IAR (Investment Advisor Representative) and started their career in finance in 1988. David has worked at 9 firms and has passed the Series 65, Series 63, Series 7 and Series 24 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.
INSURANCE SALES AND INVESTMENTS - AGENT/REP - 1HR PER QUARTER - GILBERT AZ, SINCE 02/2004 2) TREK FINANCIAL 4/2008; (3) GLOBAL TRAVEL - USE FOR PERSONAL GLOBAL TRAVEL DISCOUNT ONLY (4) HOLDS VARIOUS APPOINTMENTS WITH CARRIERS FOR FIXED LIFE, HEALTH, LTC AND DI. Trusted Business Advisors Team, LLC Privately held, employee owned, independent registered investment advisory firm started in 2014. Trusted Business Advisors Team, LLC provides advisory services as a fiduciary investment manager to institutional clients including 401k, 403(b) and pension plans. The firms also provides consulting services to CPA and Law firms.
CRS (Client Relationship Summary) - RIA
Click below to view David Duncan 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®
CFP®
Start date: 1996
Experience
Current
April 3, 2008 - Present
TREK FINANCIAL
Office #1: 8355 East Hartford Drive Suite 105, Scottsdale, AZ 85255RIA
CRD#: 109376
Scottsdale, AZ
Past
April 9, 2014 - March 21, 2023
TRUSTED BUSINESS ADVISOR GROUP
RIA
CRD#: 170710
GILBERT, AZ
Past
October 23, 2008 - August 7, 2009
EQUITABLE ADVISORS, LLC
BD
CRD#: 6627
SCOTTSDALE, AZ
Past
October 9, 2008 - August 7, 2009
EQUITABLE ADVISORS, LLC
RIA
CRD#: 6627
SCOTTSDALE, AZ
Past
August 31, 2005 - April 2, 2007
UNITED PLANNERS' FINANCIAL SERVICES OF AMERICA A LIMITED PARTNER
RIA
CRD#: 20804
TEMPE, AZ
Past
July 18, 2005 - April 2, 2007
UNITED PLANNERS' FINANCIAL SERVICES OF AMERICA A LIMITED PARTNER
BD
CRD#: 20804
TEMPE, AZ
Past
June 1, 2005 - August 9, 2005
EQUITABLE ADVISORS, LLC
RIA
CRD#: 6627
GILBERT, AZ
Past
June 1, 2005 - August 9, 2005
EQUITABLE ADVISORS, LLC
BD
CRD#: 6627
NEW YORK, NY
Past
March 31, 2004 - December 31, 2010
PHOENIX WEALTH ADVISORS
RIA
CRD#: 128247
GILBERT, AZ
Past
June 3, 2002 - June 1, 2005
MONY SECURITIES CORPORATION
RIA
CRD#: 4386
GILBERT, AZ
Past
March 3, 1992 - June 1, 2005
MONY SECURITIES CORPORATION
BD
CRD#: 4386
NEW YORK, NY
Past
August 19, 1991 - February 20, 1992
1717 CAPITAL MANAGEMENT COMPANY
BD
CRD#: 4082
NEWARK, DE
Past
January 2, 1990 - October 15, 1990
THE MUTUAL LIFE INSURANCE COMPANY OF NEW YORK
BD
CRD#: 2873
NEW YORK, NY
Past
January 2, 1990 - July 17, 1991
MONY SECURITIES CORPORATION
BD
CRD#: 4386
NEW YORK, NY
Past
February 23, 1988 - December 31, 1989
TITAN/VALUE EQUITIES GROUP, INC.
BD
CRD#: 6359
IRVINE, CA
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".
TF
TREK FINANCIAL
BAUER & ASSOCIATES, INC. | WITTROCK FINANCIAL GROUP | UTAH SMALL BUSINESS SOLUTIONS | TREK FINANCIAL, LLC | TREK FINANCIAL | STRATEGIC FINANCIAL SERVICES | STRATEGIC BENEFIT SOLUTIONS | STATERA WEALTH MANAGEMENT | PRISM FINANCIAL CONCEPTS | OMNIAVELIS | MANWARING WEALTH MANAGEMENT | INNOVATIVE RETIREMENT PLANNERS, INC. | EMPOWERED FINANCIAL MANAGEMENT | DETRAY INVESTMENT GROUP | DELMER HYDE FINANCIAL GROUP | CLINTON BROWN FINANCIAL | BULWARK CAPITAL MANAGEMENT | BLUELINE FINANCIAL PLANNING | BCJ CAPITAL MANAGEMENT, LLC | BCJ CAPITAL MANAGEMENT | BAUER CAPTAIN & JOHNSON, INC. | BAUER CAPTAIN & ASSOCIATES, INC.
CRD#: 109376 / SEC#: 801-58087
RIA
Registered Investment Advisory firm - (11/15/2000 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.Highlighted states indicate IAR registrations
IAR
Arizona(4/3/2008)
Exams
State Security Law Exam
State Security Law Exam
General Industry/Product Exam
Principal/Supervisory Exam
Current Firm
TF
TREK FINANCIAL
BAUER & ASSOCIATES, INC. | WITTROCK FINANCIAL GROUP | UTAH SMALL BUSINESS SOLUTIONS | TREK FINANCIAL, LLC | TREK FINANCIAL | STRATEGIC FINANCIAL SERVICES | STRATEGIC BENEFIT SOLUTIONS | STATERA WEALTH MANAGEMENT | PRISM FINANCIAL CONCEPTS | OMNIAVELIS | MANWARING WEALTH MANAGEMENT | INNOVATIVE RETIREMENT PLANNERS, INC. | EMPOWERED FINANCIAL MANAGEMENT | DETRAY INVESTMENT GROUP | DELMER HYDE FINANCIAL GROUP | CLINTON BROWN FINANCIAL | BULWARK CAPITAL MANAGEMENT | BLUELINE FINANCIAL PLANNING | BCJ CAPITAL MANAGEMENT, LLC | BCJ CAPITAL MANAGEMENT | BAUER CAPTAIN & JOHNSON, INC. | BAUER CAPTAIN & ASSOCIATES, INC.
CRD#: 109376 / SEC#: 801-58087
RIA
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Contact information
Main Address
8355 East Hartford Drive Suite 105, Scottsdale, AZ 85255
Mailing Address
Phone number
(480) 483-1510
Established
Firm type
Fiscal year end
# of Employees
56
SEC notice filing (40 States and Territories)
Regulatory assets under management
| Total Number of Accounts | 11,057 |
| AUM (Assets Under Management) | $ 2,492,708,552 |
Red Flags
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Check for any disclosures as part of your thorough research when choosing an advisor.
