DC
David J. Carroll
KESTRA INVESTMENT SERVICES
Palo Alto, CA 94306
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CRD#: 2355967
DC
Professional summary
David Joseph Carroll, who also goes by David J Carroll, is a registered financial professional currently at KESTRA INVESTMENT SERVICES, LLC located in Palo Alto, California.
David is registered as a RR (Registered Representative) and started their career in finance in 1993. David has worked at 5 firms and has passed the Series 65, Series 63, SIE and Series 7 exams.
Question & Answer
Are you a "fiduciary"?
No
Aliases
David J 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 David Joseph 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
July 3, 2006 - Present
KESTRA INVESTMENT SERVICES, LLC
Office #1: 260 Sheridan Ave Suite 210, Palo Alto, CA 94306Office #2: 265 Franklin St. Suite 1901, Boston, MA 02110BD
CRD#: 42046
Palo Alto, CA
Past
July 10, 2001 - March 17, 2004
NORTHWESTERN MUTUAL INVESTMENT SERVICES, LLC
BD
CRD#: 2881
MILWAUKEE, WI
Past
January 2, 2001 - July 3, 2006
M HOLDINGS SECURITIES, INC.
BD
CRD#: 43285
BOSTON, MA
Past
April 9, 1997 - January 5, 2001
MUTUAL SERVICE CORPORATION
BD
CRD#: 4806
BOSTON, MA
Past
June 21, 1993 - February 14, 1997
JOHN HANCOCK MUTUAL LIFE INSURANCE COMPANY
BD
CRD#: 5181
BOSTON, MA
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
Alaska(1/14/2014)
RR
Arizona(6/4/2015)
RR
California(7/3/2006)
RR
Connecticut(7/3/2006)
RR
Delaware(7/3/2006)
RR
Florida(7/3/2006)
RR
Hawaii(11/11/2013)
RR
Illinois(11/17/2014)
RR
Maine(7/3/2006)
RR
Massachusetts(7/3/2006)
RR
Minnesota(7/3/2006)
RR
Nevada(3/6/2015)
RR
New Hampshire(7/3/2006)
RR
New Jersey(9/18/2023)
RR
New York(7/3/2006)
RR
North Carolina(11/12/2013)
RR
Ohio(5/24/2022)
RR
Pennsylvania(7/3/2006)
RR
Rhode Island(7/3/2006)
RR
South Carolina(5/23/2022)
RR
South Dakota(7/3/2006)
RR
Texas(7/3/2006)
RR
Vermont(7/3/2006)
RR
Virginia(7/3/2006)
RR
Washington(3/9/2015)
RR
Wisconsin(11/28/2016)
Exams
State Security Law Exam
State Security Law Exam
General Industry/Product Exam
General Industry/Product Exam
SRO Registrations
RR
FINRA
Current Firm
KI
KESTRA INVESTMENT SERVICES, LLC
KESTRA INVESTMENT SERVICES, LLC | PARTNERS SECURITIES, INC. | NFP SECURITIES, INC. | NFP SECIRITIES, INC. | NFP ADVISOR SERVICES, LLC | NFP ADVISOR SERVICES
CRD#: 42046 / SEC#: , 8-49672
BD
Broker-Dealer Firm Regulated by FINRA (Dallas district office)
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Contact information
Main Address
5707 Southwest Parkway 2-125, Austin, TX 78746
Mailing Address
5707 Southwest Parkway Building 2, Suite 400, Austin, TX 78735
Phone number
(844) 553-7872
Established
Texas since 09/01/2014
Firm type
Limited Liability Company
Fiscal year end
December
Firm Size
Large
# of Employees
FINRA licenses (53 States and Territories)
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| KESTRA FINANCIAL, INC | SOLE MEMBER | |
| AMORE, JOHN VINCENT | PRESIDENT | 5430932 |
| CHESTER, KRISTEN LAWLESS | CHIEF OPERATING OFFICER, EXECUTIVE VICE PRESIDENT | 6896952 |
| KANT, VINAY | CHIEF DIGITAL TECHNOLOGY OFFICER | 7976827 |
| PEDLOW, MICHAEL ROSS | CHIEF COMPLIANCE OFFICER, EXECUTIVE VICE PRESIDENT | 4871563 |
| POER, JAMES LYNN | CHIEF EXECUTIVE OFFICER | 1983357 |
| SCHOENBECK, MARK PAUL | EXECUTIVE VICE PRESIDENT | 2625829 |
| YIN, YIN | CONTROLLER | 3219513 |
| ZEGERS, SCOTT MATTHEW | CHIEF FINANCIAL OFFICER | 4831659 |
Disclosures
| Regulatory Event | 14 |
| Arbitration | 2 |
Red Flags
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Company Information
KESTRA INVESTMENT SERVICES, LLC
CRD#: 42046Palo Alto, CA 94306TRUST BUT VERIFY
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