David J. Carroll
Professional summary
David John Carroll is a registered financial advisor currently at PALISADE FINANCIAL located in Orinda, California.
David is registered as an IAR (Investment Advisor Representative) and started their career in finance in 2000. David has worked at 6 firms and has passed the Series 66, Series 63 and Series 7 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary) - RIA
Click below to view David John Carroll's CRS (Customer Relationship Summary).
Certified licenses
Experience
January 25, 2021 - Present
PALISADE FINANCIAL
September 15, 2011 - December 31, 2020
PALISADE FINANCIAL
April 26, 2011 - September 7, 2011
SECURITIES AMERICA ADVISORS, INC.
September 17, 2010 - September 7, 2011
SECURITIES AMERICA, INC.
December 11, 2007 - May 9, 2008
CLARKESON RESEARCH INC.
May 3, 2006 - February 12, 2007
ECHOTRADE LLC
April 10, 2000 - June 29, 2001
PREFERREDTRADE, INC.
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
Highlighted states indicate IAR registrations
(1/25/2021)
Exams
Current Firm
PALISADE FINANCIAL
CRD#: 158695 / SEC#:
Contact information
Regulatory assets under management
| Total Number of Accounts | 122 |
| AUM (Assets Under Management) | $ 64,000,000 |
Red Flags
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