Thomas C. 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.
Thomas Clinton Carroll Jr, who also goes by Clint Carroll, T C Carroll, T Clinton Carroll Jr, Thomas Clinton Carroll Jr, Clint Carroll, T Clinton Carroll Jr, T Clinton Carroll, Thomas Clinton Carroll, was a registered financial professional .
Thomas is a previously registered financial professional and started their career in finance in 2002. Thomas had worked at 12 firms and has passed the Series 65, Series 63, SIE, Series 7, Series 6 and Series 24 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
June 28, 2021 - November 15, 2021
NORTHWESTERN MUTUAL INVESTMENT SERVICES, LLC
June 25, 2021 - November 15, 2021
NORTHWESTERN MUTUAL INVESTMENT SERVICES, LLC
June 4, 2020 - June 7, 2021
EAGLE STRATEGIES LLC
March 24, 2020 - June 7, 2021
NYLIFE SECURITIES LLC
July 9, 2018 - December 26, 2019
TD AMERITRADE INVESTMENT MANAGEMENT, LLC
July 5, 2018 - December 26, 2019
TD AMERITRADE, INC.
July 5, 2018 - December 26, 2019
TD AMERITRADE, INC.
May 9, 2017 - January 16, 2018
SIGNATOR INVESTORS, INC.
May 9, 2017 - January 16, 2018
SIGNATOR INVESTORS, INC.
August 13, 2014 - May 12, 2015
MWA FINANCIAL SERVICES INC.
March 29, 2011 - December 31, 2013
MWA FINANCIAL SERVICES INC.
November 3, 2010 - May 12, 2015
MWA FINANCIAL SERVICES INC.
January 5, 2009 - May 19, 2009
WELLS FARGO CLEARING SERVICES, LLC
January 5, 2009 - May 19, 2009
WELLS FARGO CLEARING SERVICES, LLC
September 18, 2007 - December 22, 2008
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
May 8, 2007 - December 22, 2008
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
October 26, 2006 - May 23, 2007
WORLD GROUP SECURITIES, INC.
October 22, 2004 - August 30, 2005
NYLIFE SECURITIES LLC
June 3, 2002 - November 6, 2002
1717 CAPITAL MANAGEMENT COMPANY
March 28, 2002 - June 21, 2002
PFS INVESTMENTS INC.
Primary Firm SEC Registration
NORTHWESTERN MUTUAL INVESTMENT SERVICES, LLC
CRD#: 2881 / SEC#: 801-8095, 8-14088
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
NORTHWESTERN MUTUAL INVESTMENT SERVICES, LLC
CRD#: 2881 / SEC#: 801-8095, 8-14088
Contact information
SEC notice filing (50 States and Territories)
FINRA licenses (51 States and Territories)
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| THE NORTHWESTERN MUTUAL LIFE INSURANCE COMPANY | SOLE MEMBER | |
| ALBERS, BRETT BERNARD | TREASURER / FINANCIAL AND OPERATIONS PRINCIPAL | 6669890 |
| DOLL, QUENTIN MICHAEL | VICE PRESIDENT - RISK PRODUCTS | 6776231 |
| EULL, BRADLEY LEAHY | SECRETARY | 2969269 |
| KALINOWSKI, DAWN MARIE | VICE PRESIDENT - CHIEF OPERATIONS OFFICER | 2770565 |
| LUND, NICOLE ELLEN | VICE PRESIDENT AND CHIEF COMPLIANCE OFFICER | 4646907 |
| SCHULTZ, DEBORAH ALLISON | VICE PRESIDENT AND CHIEF RISK OFFICER | 7440134 |
| TOMCZAK, BONNIE LYNN | VICE PRESIDENT - WEALTH | 2966038 |
| VALTERS, LAILA M | PRESIDENT AND CEO | 3010005 |
Disclosures
| Regulatory Event | 10 |
| Arbitration | 1 |
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.
