David G. 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.
David Gerard Carroll was a registered financial professional .
David is a previously registered financial professional and started their career in finance in 1997. David had worked at 5 firms and has passed the Series 63, Series 65, SIE, Series 7 and Series 6 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
January 21, 2014 - July 20, 2023
JOHNSON WEALTH INC.
June 17, 2010 - June 2, 2016
CLEARY GULL INC.
February 5, 2010 - June 2, 2016
CLEARY GULL INC.
December 18, 2003 - January 3, 2005
JPMORGAN FLEMING ASSET MANAGEMENT
May 20, 2002 - January 8, 2004
BANC ONE SECURITIES CORPORATION
March 2, 2001 - January 8, 2004
BANC ONE SECURITIES CORPORATION
April 7, 1997 - September 6, 2000
THRIVENT INVESTMENT MANAGEMENT INC.
Primary Firm SEC Registration
JOHNSON WEALTH INC.
CRD#: 125557 / SEC#: 801-61862
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
JOHNSON WEALTH INC.
CRD#: 125557 / SEC#: 801-61862
Contact information
SEC notice filing (45 States and Territories)
Documents
Regulatory assets under management
| Total Number of Accounts | 6,888 |
| AUM (Assets Under Management) | $ 9,109,318,040 |
Accountant surprise examination report
| Filing Date | Form ADV-E Cover | Form ADV-E Report |
|---|---|---|
| 01/27/2025 | ||
| 10/25/2023 | ||
| 12/21/2022 |
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.
