Patrick V. Carroll

PRINCIPAL ASSET MANAGEMENT

Scarsdale, NY

CRD#: 2351128

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Professional summary

Patrick Vincent Carroll Jr, who also goes by Pat Carroll, Patrick VIncent Carroll Jr, Patrick Vincent Carroll, is a registered financial advisor currently at PRINCIPAL ASSET MANAGEMENT located in Scarsdale, New York and PRINCIPAL FUNDS DISTRIBUTOR, INC. located in Stamford, Connecticut.

Patrick is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1993. Patrick has worked at 17 firms and has passed the Series 65, Series 63, SIE and Series 7 exams.

Question & Answer

Are you a "fiduciary"?

Yes

Aliases

Pat Carroll | Patrick Vincent Carroll Jr | Patrick Vincent 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.

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Patrick Vincent Carroll Jr's CRS (Customer Relationship Summary).

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®

None

Experience

Current

June 23, 2026 - Present

PRINCIPAL ASSET MANAGEMENT

RIA

CRD#: 109002

Scarsdale, NY

Current

June 23, 2026 - Present

PRINCIPAL FUNDS DISTRIBUTOR, INC.

Office #1: 2 High Ridge Park Suite 2, Stamford, CT 06905

CRD#: 43261

Stamford, CT

Past

April 22, 2022 - April 30, 2026

FORESIDE FUND SERVICES, LLC

CRD#: 46106

Garden City, NY

Past

April 13, 2022 - April 30, 2026

HILTON CAPITAL MANAGEMENT, LLC

RIA

CRD#: 116357

GARDEN CITY, NY

Past

November 8, 2018 - April 11, 2022

JOHN HANCOCK INVESTMENT MANAGEMENT LLC

RIA

CRD#: 105790

BOSTON, MA

Past

July 30, 2018 - November 8, 2018

MANULIFE INVESTMENT MANAGEMENT (US) LLC

RIA

CRD#: 106435

SCARSDALE, NY

Past

July 20, 2018 - April 11, 2022

JOHN HANCOCK INVESTMENT MANAGEMENT DISTRIBUTORS LLC

CRD#: 28262

BOSTON, MA

Past

February 8, 2018 - July 19, 2018

J.P. MORGAN SECURITIES LLC

RIA

CRD#: 79

SCARSDALE, NY

Past

February 7, 2018 - July 19, 2018

J.P. MORGAN SECURITIES LLC

CRD#: 79

SCARSDALE, NY

Past

January 17, 2014 - January 18, 2018

BLACKROCK FINANCIAL MANAGEMENT, INC

RIA

CRD#: 107105

NEW YORK, NY

Past

May 18, 2010 - January 18, 2018

BLACKROCK INVESTMENTS, LLC

CRD#: 38642

NEW YORK, NY

Past

December 1, 2005 - May 12, 2009

FRANKLIN DISTRIBUTORS, LLC

CRD#: 109064

SAN MATEO, CA

Past

January 30, 2002 - December 1, 2005

CITIGROUP GLOBAL MARKETS INC.

CRD#: 7059

NEW YORK, NY

Past

May 30, 2001 - December 12, 2001

AMUNDI DISTRIBUTOR US, INC.

CRD#: 24497

BOSTON, MA

Past

December 1, 1999 - November 20, 2000

VP DISTRIBUTORS LLC

CRD#: 3036

HARTFORD, CT

Past

September 8, 1997 - December 1, 1999

PXP SECURITIES CORP.

CRD#: 22898

HARTFORD, CT

Past

July 28, 1997 - August 19, 1997

PXP SECURITIES CORP.

CRD#: 22898

Past

January 24, 1994 - August 15, 1997

AUERBACH, POLLAK & RICHARDSON INC.

CRD#: 29824

STAMFORD, CT

Past

August 25, 1993 - January 1, 1994

SOUTH RICHMOND SECURITIES, INC.

CRD#: 14913

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".

PRINCIPAL ASSET MANAGEMENT

CRD#: 109002 / SEC#: 801-55959

RIA

Registered Investment Advisory firm - (10/26/1998 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.

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

New York
(6/23/2026)

IAR

New York
(6/23/2026)

Don't see your state listed? The advisor may still be able to work with you under the federal De Minimis Rule, which allows up to five investment advisory clients in a state without registration. Some states, like TX, LA, NE, and NH, may still require registration or notice filing. Contact the advisor or their firm to confirm their investment advisory availability in your state. Note: This rule does not apply to broker-dealer activity.

Exams

State Security Law Exam

IAR

Series 65

Date: 1/16/2014

Uniform Investment Adviser Law Examination

State Security Law Exam

Series 63

Date: 8/31/1993

Uniform Securities Agent State Law Examination

General Industry/Product Exam

SIE

Date: 10/1/2018

Securities Industry Essentials Examination

General Industry/Product Exam

Series 7

Date: 8/24/1993

General Securities Representative Examination

SRO Registrations

FINRA

Current Firm

PRINCIPAL ASSET MANAGEMENT

CRD#: 109002 / SEC#: 801-55959

RIA

Registered Investment Advisory firm - (10/26/1998 Approved)

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Contact information

Main Address

801 Grand Ave, Des Moines, IA 50392-0001

Mailing Address

711 High Street, Des Moines, IA 50392-0001

Phone number

(800) 787-1621

Established

Firm type

Fiscal year end

# of Employees

1,350

SEC notice filing (52 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)

Latest Form ADV

Part 2 Brochures

PRINCIPAL ASSET MANAGEMENT 2025 ADV PART 2A (3/31/2025)

Regulatory assets under management

Total Number of Accounts	7,399
AUM (Assets Under Management)	$ 364,035,359,901

Accountant surprise examination report

Filing Date	Form ADV-E Cover	Form ADV-E Report
09/26/2025	Cover Page	Report
10/28/2024	Cover Page	Report
11/28/2023	Cover Page	Report
09/28/2023	Cover Page	Report

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.

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Firm Stability Insights

Patrick V. Carroll

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Patrick Vincent Carroll Jr's CRS (Customer Relationship Summary).

Certified licenses

Experience

PRINCIPAL FUNDS DISTRIBUTOR, INC.

FORESIDE FUND SERVICES, LLC

HILTON CAPITAL MANAGEMENT, LLC

JOHN HANCOCK INVESTMENT MANAGEMENT LLC

MANULIFE INVESTMENT MANAGEMENT (US) LLC

JOHN HANCOCK INVESTMENT MANAGEMENT DISTRIBUTORS LLC

J.P. MORGAN SECURITIES LLC

J.P. MORGAN SECURITIES LLC

BLACKROCK FINANCIAL MANAGEMENT, INC

BLACKROCK INVESTMENTS, LLC

FRANKLIN DISTRIBUTORS, LLC

CITIGROUP GLOBAL MARKETS INC.

AMUNDI DISTRIBUTOR US, INC.

VP DISTRIBUTORS LLC

PXP SECURITIES CORP.

PXP SECURITIES CORP.

AUERBACH, POLLAK & RICHARDSON INC.

SOUTH RICHMOND SECURITIES, INC.

Primary Firm SEC Registration

PRINCIPAL ASSET MANAGEMENT

State Registrations and Notice Filings

Exams

Series 65

Date: 1/16/2014

Series 63

Date: 8/31/1993

SIE

Date: 10/1/2018

Series 7

Date: 8/24/1993

FINRA

Current Firm

PRINCIPAL ASSET MANAGEMENT

Contact information

SEC notice filing (52 States and Territories)

Documents

Part 2 Brochures

Regulatory assets under management

Accountant surprise examination report

Red Flags

Company Information

PRINCIPAL ASSET MANAGEMENT

TRUST BUT VERIFY

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