Patrick V. Carroll
Professional summary
Being a previously registered professional could mean that this person is no longer operating under the supervision of the SEC or FINRA.
That means that the Securities and Exchange Commission may not be able to oversee the services that this specific professional is providing.
Patrick Vincent Carroll JR, who also goes by Pat Carroll, Patrick VIncent Carroll, was a registered financial professional .
Patrick is a previously registered financial professional and started their career in finance in 1993. Patrick had worked at 15 firms and has passed the Series 65, Series 63, SIE and Series 7 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
April 22, 2022 - April 30, 2026
FORESIDE FUND SERVICES, LLC
April 13, 2022 - April 30, 2026
HILTON CAPITAL MANAGEMENT, LLC
November 8, 2018 - April 11, 2022
JOHN HANCOCK INVESTMENT MANAGEMENT LLC
July 30, 2018 - November 8, 2018
MANULIFE INVESTMENT MANAGEMENT (US) LLC
July 20, 2018 - April 11, 2022
JOHN HANCOCK INVESTMENT MANAGEMENT DISTRIBUTORS LLC
February 8, 2018 - July 19, 2018
J.P. MORGAN SECURITIES LLC
February 7, 2018 - July 19, 2018
J.P. MORGAN SECURITIES LLC
January 17, 2014 - January 18, 2018
BLACKROCK FINANCIAL MANAGEMENT, INC
May 18, 2010 - January 18, 2018
BLACKROCK INVESTMENTS, LLC
December 1, 2005 - May 12, 2009
FRANKLIN DISTRIBUTORS, LLC
January 30, 2002 - December 1, 2005
CITIGROUP GLOBAL MARKETS INC.
May 30, 2001 - December 12, 2001
AMUNDI DISTRIBUTOR US, INC.
December 1, 1999 - November 20, 2000
VP DISTRIBUTORS LLC
September 8, 1997 - December 1, 1999
PXP SECURITIES CORP.
July 28, 1997 - August 19, 1997
PXP SECURITIES CORP.
January 24, 1994 - August 15, 1997
AUERBACH, POLLAK & RICHARDSON INC.
August 25, 1993 - January 1, 1994
SOUTH RICHMOND SECURITIES, INC.
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
Visual representation of state registrations
Exams
Current Firm
FORESIDE FUND SERVICES, LLC
CRD#: 46106 / SEC#: , 8-51293
Contact information
FINRA licenses (53 States and Territories)
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| FORESIDE DISTRIBUTORS, LLC | SOLE MEMBER | |
| COWAN, TERESA MARIA KAZMIERSKI | PRES/MANAGER/DIRECTOR | 1544189 |
| EDELMAN, GABRIEL | SECRETARY | 6654419 |
| LA FOND, SUSAN LORENE | TREASURER | 4512785 |
| LANZA, CHRISTOPHER CONTE | VICE PRESIDENT | 2184856 |
| MACCHIA, KATE SCHENDEL | VICE PRESIDENT | 4863973 |
| SOMMERS, WESTON | CFO/FINOP | 5290145 |
| STROUT, ALICIA KIMBERLY | CHIEF COMPLIANCE OFFICER/VICE PRESIDENT | 6320351 |
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.
