PC
Paul T. Carroll
PINNACLE FAMILY ADVISORS
Springfield, MO 65807
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CRD#: 2229563
PC
Professional summary
Paul Thomas Carroll, who also goes by Paul T Carroll, is a registered financial advisor currently at PINNACLE FAMILY ADVISORS, LLC located in Springfield, Missouri and PURSHE KAPLAN STERLING INVESTMENTS located in Springfield, Missouri.
Paul is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1992. Paul has worked at 6 firms and has passed the Series 65, Series 63, Series 99TO, SIE, Series 7 and Series 6 exams.
Question & Answer
Are you a "fiduciary"?
Yes
Aliases
Paul T 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.
1)PINNACLE FAMILY ADVISORS - RIA FIRM;620 W. Republic Road, Suite 104, Springfield, MO 65807; CHIEF INVESTMENT OFFICER/CHIEF COMPLIANCE OFFICER; START DATE 11/2008; 40 HOURS/WEEK; DURING TRADING HOURS; INVESTMENT POLICY AND MANAGE DISCRETIONARY ACCOUNTS.
2) PAUL CARROLL OFFICIATING, NOT INVESTMENT RELATED; 1634 E. SWALLOW, SPRINGFIELD, MO 65804; OFFICIATING SPORTS (BASKETBAL, FOOTBALL, SOFTBALL); CONSIDERED SELF-EMPLOYED; START DATE 12/1/09; 40 HOURS PER MONTH; NONE DURING TRADING HOURS; OFFICIATING GAMES.
3) PAUL CARROLL - DIRECT FIXED INSURANCE; INVESTMENT RELATED; 3010 E. BATTLEFIELD, STE. A; SPRINGFIELD, MO 65804; FIXED INSURANCE SALES; PRODUCER; START DATE: 12/9/2011; APPROX 4 HRS/MO; SALE OF TERM, WHOLE LIFE AND LTC INSURANCE
4) PINNACLE TACTICAL ALLOCATION FUND. INVESTMENT RELATED. 4200 S. QUAIL CREEK AVE, STE A, SPRINGFIELD, MO 65810. '40 ACT FUND. PORTFOLIO MANAGER. 06/2013. 40 HRS/MO. PINNACLE FAMILY ADVISORS, LLC IS THE INVESTMENT ADVISOR TO THE FUND. AS PORTFOLIO MANAGER,RESPONSIBLE FOR EXECUTING THE INVESTMENT STRATEGY OF THE FUND.
5) PKS FINANCIAL SERVICES, INVESTEMENT RELATED; 80 STATE ST, ALBANY, NY 12207; 1/23/2009-PRESENT, FIXED INSURANCE SALES
CRS (Client Relationship Summary) - RIA
Click below to view Paul Thomas 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
April 28, 2009 - Present
PINNACLE FAMILY ADVISORS, LLC
Office #1: 620 W. Republic Road Suite 104, Springfield, MO 65807RIA
CRD#: 145628
Springfield, MO
Current
January 23, 2009 - Present
PURSHE KAPLAN STERLING INVESTMENTS
Office #1: 620 W. Republic Road Suite 104, Springfield, MO 65807BD
CRD#: 35747
Springfield, MO
Past
January 25, 2006 - November 24, 2008
RAYMOND JAMES FINANCIAL SERVICES, INC.
RIA
CRD#: 6694
SPRINGFIELD, MO
Past
December 1, 2005 - November 24, 2008
RAYMOND JAMES FINANCIAL SERVICES, INC.
BD
CRD#: 6694
SPRINGFIELD, MO
Past
June 10, 2003 - December 2, 2005
WELLS FARGO CLEARING SERVICES, LLC
RIA
CRD#: 19616
NEW PHILADELPHIA, OH
Past
April 13, 2000 - December 2, 2005
WELLS FARGO CLEARING SERVICES, LLC
BD
CRD#: 19616
ST. LOUIS, MO
Past
June 11, 1992 - June 27, 1992
JOHN HANCOCK MUTUAL LIFE INSURANCE COMPANY
BD
CRD#: 5181
Past
June 11, 1992 - June 27, 1992
SIGNATOR INVESTORS, INC.
BD
CRD#: 468
Past
April 24, 1992 - May 19, 1992
JOHN HANCOCK MUTUAL LIFE INSURANCE COMPANY
BD
CRD#: 5181
Past
April 24, 1992 - May 19, 1992
SIGNATOR INVESTORS, INC.
BD
CRD#: 468
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".
PF
PINNACLE FAMILY ADVISORS, LLC
PINNACLE ASSET MANAGEMENT | PINNACLE TACTICAL FUNDS | PINNACLE SHERMAN FUNDS | PINNACLE FAMILY ADVISORS, LLC
CRD#: 145628 / SEC#: 801-78013
RIA
Registered Investment Advisory firm - (5/14/2013 Approved)Missouri
Registered Investment Advisory firm - (5/15/2013 Terminated)Texas
Registered Investment Advisory firm - (5/15/2013 Terminated)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(6/30/2020)
RR
Arkansas(3/14/2022)
RR
Colorado(3/1/2023)
RR
Florida(3/1/2023)
RR
Kansas(1/23/2009)
RR
Kentucky(1/6/2014)
RR
Louisiana(3/1/2023)
RR
Minnesota(3/1/2023)
RR
Missouri(1/23/2009)
IAR
Missouri(4/28/2009)
RR
New York(3/1/2023)
RR
Ohio(1/26/2009)
RR
Oklahoma(3/1/2023)
RR
South Carolina(3/1/2023)
RR
Tennessee(3/1/2023)
IAR
Texas(3/29/2012)
RR
Texas(3/1/2023)
Exams
State Security Law Exam
State Security Law Exam
General Industry/Product Exam
RR
Series 99TO
Date: 1/2/2023
Operations Professional ExaminationGeneral Industry/Product Exam
General Industry/Product Exam
General Industry/Product Exam
SRO Registrations
RR
FINRA
Current Firm
PF
PINNACLE FAMILY ADVISORS, LLC
PINNACLE ASSET MANAGEMENT | PINNACLE TACTICAL FUNDS | PINNACLE SHERMAN FUNDS | PINNACLE FAMILY ADVISORS, LLC
CRD#: 145628 / SEC#: 801-78013
RIA
Registered Investment Advisory firm - (5/14/2013 Approved)Missouri
Registered Investment Advisory firm - (5/15/2013 Terminated)Texas
Registered Investment Advisory firm - (5/15/2013 Terminated)Upgrade to AdvisorCheck Premium
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Contact information
Main Address
620 W. Republic Road Suite 104, Springfield, MO 65807
Mailing Address
Phone number
(417) 886-6590
Established
Firm type
Fiscal year end
# of Employees
13
SEC notice filing (5 States and Territories)
Regulatory assets under management
| Total Number of Accounts | 1,876 |
| AUM (Assets Under Management) | $ 341,342,744 |
Accountant surprise examination report
| Filing Date | Form ADV-E Cover | Form ADV-E Report |
|---|---|---|
| 04/16/2025 | ||
| 01/26/2024 | ||
| 01/25/2023 |
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.
Company Information
PINNACLE FAMILY ADVISORS, LLC
CRD#: 145628Springfield, MO 65807TRUST BUT VERIFY
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