Thomas Carroll
Professional Summary
Thomas Carroll, who also goes by Tom Carroll, Tommy Carroll, is a registered financial advisor currently at FMSBONDS, INC. located in Boca Raton, Florida. Thomas is registered as a RR (Registered Representative) and started their career in finance in 2012. Thomas has worked at 1 firm and has passed the SIE and Series 99 exams.
At a Glance
Fiduciary Standard
Fee Structure
Account Minimum
Active Clients
Fiduciary Standard
Fee Structure
Account Minimum
Active Clients
Other Aliases
Tom Carroll, Tommy Carroll
Similar Advisors
OSAIC WEALTH, INC.
DAYMARK WEALTH PARTNERS, LLC
SOUND INCOME STRATEGIES, LLC
EQUITABLE ADVISORS, LLC
Videos & Posts
This advisor has not added any videos or posts yet.
Similar Advisors
OSAIC WEALTH, INC.
DAYMARK WEALTH PARTNERS, LLC
SOUND INCOME STRATEGIES, LLC
EQUITABLE ADVISORS, LLC
Contact Information
This advisor has not claimed their profile yet, so there is no contact information to display at this time.
Similar Advisors
OSAIC WEALTH, INC.
DAYMARK WEALTH PARTNERS, LLC
SOUND INCOME STRATEGIES, LLC
EQUITABLE ADVISORS, LLC
Disclosures are events reported to regulators, such as customer disputes, regulatory actions, employment separations, or financial events. Some are resolved, denied, or contested — a disclosure is not a verdict. We recommend asking an advisor directly about any disclosure on their record.
Disclosures on record.
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.
Similar Advisors
OSAIC WEALTH, INC.
DAYMARK WEALTH PARTNERS, LLC
SOUND INCOME STRATEGIES, LLC
EQUITABLE ADVISORS, LLC
Years of Experience
14 years in the financial services industry
Current & Past Employments
Similar Advisors
OSAIC WEALTH, INC.
DAYMARK WEALTH PARTNERS, LLC
SOUND INCOME STRATEGIES, LLC
EQUITABLE ADVISORS, LLC
Current Firm
FIRST MIAMI SECURITIES, INC. | TAX-FREE BONDS.COM | TAX-FREE BONDS | FMSBONDS.COM | FMSBONDS, INC. | FMS,INC. | FMS, INC. | FMS BONDS, INC. | FMS BONDS
Contact Information
Main Address
4775 Technology Way, Boca Raton, FL 33431Mailing Address
4775 Technology Way, Boca Raton, FL 33431Phone Number
(800) 741-1103Established
Florida since 08/11/1978Firm Type
CorporationFiscal Year End
JuneFirm Size
SmallFINRA licenses (52 States and Territories)
Registered to provide investment advisory services in 0 US states and territories.
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| FEINSILVER, PAUL | CHAIRMAN OF THE BOARD | 500389 |
| KLOTZ, JAMES ARNOLD | PRESIDENT | 500438 |
| GUERRISE, MATTHEW ANTHONY | CHIEF COMPLIANCE OFFICER | 2673770 |
| PARKER, ANNE MICHELLE | SROP AND CROP | 2226034 |
| SELIGSOHN, MICHAEL STEVEN | CHIEF OPERATIONS OFFICER, VICE PRESIDENT | 2189850 |
| SWINARSKI, THEODORE ANTHONY | SENIOR VICE PRESIDENT - TRADING SUPERVISOR | 1584451 |
Disclosures
Regulatory Event
12Arbitration
2Similar Advisors
OSAIC WEALTH, INC.
DAYMARK WEALTH PARTNERS, LLC
SOUND INCOME STRATEGIES, LLC
EQUITABLE ADVISORS, LLC
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.
Similar Advisors
OSAIC WEALTH, INC.
DAYMARK WEALTH PARTNERS, LLC
SOUND INCOME STRATEGIES, LLC
EQUITABLE ADVISORS, LLC
State Registrations and Notice Filings
Exams
Financial professionals may take different exams throughout their careers based on the types of services they provide and roles they perform.
SRO Registrations
Similar Advisors
OSAIC WEALTH, INC.
DAYMARK WEALTH PARTNERS, LLC
SOUND INCOME STRATEGIES, LLC
EQUITABLE ADVISORS, LLC
CRS (Client Relationship Summary) - BD
Click below to view Thomas Carroll's CRS (Customer Relationship Summary).
Similar Advisors
OSAIC WEALTH, INC.
DAYMARK WEALTH PARTNERS, LLC
SOUND INCOME STRATEGIES, LLC
EQUITABLE ADVISORS, LLC
