DC
David J. Carroll
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CRD#: 41689
DC
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 John Carroll was a registered financial professional .
David is a previously registered financial professional and started their career in finance in 1967. David had worked at 19 firms and has passed the Series 65, Series 63, SIE, Series 55, Series 1, Series 4, Series 24 and Series 00 exams.
Question & Answer
Are you a "fiduciary"?
No
Aliases
None
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)
The CRS(Customer Relationship Summary) document is not provided.
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
Past
December 1, 2016 - June 29, 2017
CORECAP ADVISORS
RIA
CRD#: 158819
Parma, OH
Past
November 30, 2016 - June 29, 2017
CORECAP INVESTMENTS, LLC
BD
CRD#: 37068
Parma, OH
Past
January 15, 2014 - December 1, 2016
L&M FINANCIAL SERVICES
BD
CRD#: 26247
PARMA, OH
Past
November 16, 2012 - January 14, 2014
FINTEGRA, LLC
RIA
CRD#: 16741
MAYFIELD HEIGHTS, OH
Past
November 15, 2012 - January 14, 2014
FINTEGRA, LLC
BD
CRD#: 16741
MAYFIELD HEIGHTS, OH
Past
October 3, 2011 - November 12, 2012
L&M FINANCIAL SERVICES
BD
CRD#: 26247
PARMA, OH
Past
March 12, 2009 - October 1, 2009
B. RILEY WEALTH MANAGEMENT
RIA
CRD#: 2543
LOUDONVILLE, OH
Past
March 12, 2009 - October 1, 2009
B. RILEY WEALTH MANAGEMENT
BD
CRD#: 2543
MEMPHIS, TN
Past
October 18, 2006 - March 2, 2009
SANDERS MORRIS LLC
RIA
CRD#: 20580
BEACHWOOD, OH
Past
October 17, 2006 - March 2, 2009
SANDERS MORRIS LLC
BD
CRD#: 20580
BEACHWOOD, OH
Past
March 7, 2005 - October 3, 2006
RAYMOND JAMES FINANCIAL SERVICES, INC.
RIA
CRD#: 6694
CONCORD, OH
Past
February 18, 2005 - October 3, 2006
RAYMOND JAMES FINANCIAL SERVICES, INC.
BD
CRD#: 6694
CONCORD, OH
Past
January 23, 2004 - March 7, 2005
RYAN BECK & CO.
RIA
CRD#: 3248
PEPPER PIKE, OH
Past
January 31, 2003 - March 7, 2005
RYAN BECK & CO.
BD
CRD#: 3248
FLORHAM PARK, NJ
Past
January 15, 2002 - February 4, 2003
LADENBURG THALMANN & CO. INC.
BD
CRD#: 505
NEW YORK, NY
Past
December 9, 1987 - January 29, 2002
MERICKA & CO., INC.
BD
CRD#: 570
BEACHWOOD, OH
Past
November 20, 1979 - December 21, 1987
FINANCIAL AMERICA SECURITIES, INC.
BD
CRD#: 5100
Past
August 14, 1978 - December 16, 1979
PRESCOTT, BALL & TURBEN, INC.
BD
CRD#: 7656
Past
February 4, 1977 - August 14, 1978
PRESCOTT, BALL & TURBEN
BD
CRD#: 7342
Past
April 5, 1976 - February 4, 1977
PRESCOTT, BALL & TURBEN
BD
CRD#: 7101
Past
March 24, 1976 - April 5, 1976
PRESCOTT, BALL & TURBEN
BD
CRD#: 6532
Past
May 13, 1975 - March 20, 1976
ROULSTON RESEARCH CORP.
BD
CRD#: 3235
Past
June 27, 1974 - January 16, 1975
MERRILL LYNCH, PIERCE, FENNER & SMITH, INC.
BD
CRD#: 572
Past
July 16, 1971 - December 30, 1973
BAKER & CO., INCORPORATED
BD
CRD#: 5835
Past
January 28, 1971 - July 11, 1971
DISBRO & CO INC
BD
CRD#: 1000003
Past
March 6, 1967 - March 12, 1971
MERRILL LYNCH, PIERCE, FENNER & SMITH, INC.
BD
CRD#: 572
Primary Firm SEC Registration
This SEC-registered firm can serve clients nationwide. Some states may require the firm to submit a notice filing if the firm has more than 5 clients or a physical office there. You can view these state-level filings under the section titled "State Registrations and Notice Filings".
CA
CORECAP ADVISORS
ADVANTAGE BENEFITS & RETIREMENT | WWW.GOLDLINE.FINANCIAL | WOOSTER FINANCIAL | WEALTH TRAC MANAGEMENT | WEALTH TRAC FINANCIAL LLC | WEALTH TRAC FINANCIAL | WEALTH GUIDE FINANCIAL | VOYAGEUR ADVISORY GROUP | VFG ASSOCIATES | TRUE NORTH ADVISORS | TREW FINANCIAL & BENEFITS GROUP, INC. | TOTAL BENEFIT SERVICES | TORO FINANCIAL | TLC WEALTH | TLC INSURANCE GROUP | TELLURIDE FINANCIAL, INC. | TBS RETIREMENT PLANNING | TALLOU FINANCIAL SERVICES | STRATEGIC PLANNING GROUP | STIVERS LAW | STIVERS FINANCIAL SERVICES | SPEIR FINANCIAL SERVICES | SPARTAN FINANCIAL GROUP | SOULENCE TAX & WEALTH ADVISORS | SOLOMON FINANCIAL | SMITHS FINANCIAL SOLUTIONS | SMITH FINANCIAL SOLUTIONS | SLEEP WELL RETIREMENT | SKOLNIK RETIREMENT SOLUTIONS, LLC | SIS FINANCIAL GROUP | SIMASKO FINANCIAL | SENIOR HEALTH BENEFITS | SECURE RETIREMENT QUESTS | SECURE MY FUNDS | SECURE INCOME SOLUTIONS | SAA FINANCIAL | RUNESTAD FINANCIAL SERVICES, LTD | ROMAIN FINANCIAL | RJP ESTATE PLANNING | REITER FINANCIAL SERVICES | RED KITE CAPITAL | QUEST FINANCIAL | PRINCIPIUM TACTICAL WEALTH MANAGEMENT | PRINCIPIUM | PRESERVE WEALTH OKLAHOMA | PETTIFORD FINANCIAL AND WEALTH MANAGEMENT | PETERSON HARRIS, INC. | PATHWAY FINANCIAL GROUP | OWRS | ORAY-KING WEALTH ADVISORS | ODYSSEY PRIVATE WEALTH | NICOLE E. BREW & CREW | NICOLE BREWER & ASSOCIATES | NEXT FRONTIER FINANCIAL | MIDWEST RETIREMENT ADVISORS | METROKAS KAMISON ASSOCIATES | METHOD INVESTMENT GROUP | MANNOR FINANCIAL SERVICES | MANNOR FINANCIAL GROUP | LMA FINANCIAL SERVICES | LIFESTYLE WEALTH MANAGEMENT | LIFE INCOME MANAGEMENT | LEISER FINANCIAL | LASTER FINANCIAL | LAKE COUNTY FINANCIAL GROUP | LABADIE FINANCIAL | KRISTOPHER CURTIS FINANCIAL | KLAUENBERG RETIREMENT SOLUTIONS | KCS FINANCIAL GROUP | KAPONO CHUN & ASSOCIATES | JOSEPH FINANCIAL GROUP | JM FINANCIAL & ACCOUNTING SERVICES | JM FINANCIAL & ACCOUNT SERVICES | JERCON WEALTH MANAGEMENT | JACKSON KENNEDY | INSURANCE ADVANTAGE & LMA FINANCIAL SERVICES | INGOLD GROUP, LLC | HORIZON INSURANCE BROKERAGE GROUP, LLC | HAKIM FINANCIAL. INC. | HAKIM FINANCIAL | GOLDLINE FINANCIAL | GILLIKIN & ASSOCIATES | GET MY BENCHMARK | GEARY AGENCY | GAUCI & ASSOCIATES | G&H FINANCIAL GROUP | FRONTIER WEALTH MANAGEMENT | FREEDOM WEALTH MANAGEMENT | FORT WEALTH MANAGEMENT | FOREVER FREE FINANCIAL | FIRST FINANCIAL GROUP USA | FINANCIAL FITNESS | FFI | EXECUTIVE PLAN SERVICES | EXECUTIVE FINANCIAL GROUP | ESTATE PLANNING & PRESERVATION | ESPERO & PARTNERS | EDGEROCK WEALTH MANAGEMENT | DWORETSKY FINANCIAL | DUGAN BROWN | DIGNITY LIFE MARKETING GROUP, LLC | DAN WHITE & ASSOCIATES | CROSSROADS ADVISORY GROUP | CREATIVE FINANCIAL SOLUTIONS | CREATIVE ASSET CONSULTANTS, INC. | COUGHLIN WEALTH MANAGEMENT, LLC | CORNERSTONE FINANCIAL SERVICES, LLC | CORNERSTONE FINANCIAL SERVICES | CORECAP ADVISORS, LLC | CORECAP ADVISORS, INC. | CORECAP ADVISORS | CORE CAPITAL ADVISORS | COOPER AND ADEL FINANCIAL | COOPER ADEL VU FINANCIAL | COOPER ADEL & VU FINANCIAL | CONVERGENCE FINANCIAL ADVISORS, INC. | CONVERGENCE FINANCIAL ADVISORS | CONNERS WEALTH MANAGEMENT | COMMONWEALTH STRATEGY ADVISORS | CITY CENTER FINANCIAL | CFS | CASTLE WEST FINANCIAL, LLC | CAPITAL CHOICE SOUTHWEST | CAPITAL CHOICE FINANCIAL SERVICES | CAPITAL CHOICE FINANCIAL GROUP | CAPITAL CHOICE | BURLOS MARKETING | BRAD MAY & ASSOCIATES AGENCY INC. | BISHOP WEALTH PLANNING | BETTER LIFE FINANCIAL GROUP | BETH MOORES FINANCIAL | BENCHMARK | BALANCED PROFITS | B MAY & ASSOCIATES | AZOURY FINANCIAL | ASSET WEALTH MANAGEMENT | ASSET MANAGEMENT & ADVISORY SERVICES OF LEE COUNTY | ARCH BENEFITS GROUP | APEX WEALTH MANAGEMENT | ANDRIKOS FINANCIAL PARTNERS | AMERICAN PROSPERITY GROUP, LLC | ALPHA ADVISORS | ALPERT RETIREMENT ADVISING | AFFORDABLE INSURANCE NETWORK
CRD#: 158819 / SEC#: 801-72687
RIA
Registered Investment Advisory firm - (8/30/2011 Approved)Illinois
Registered Investment Advisory firm - (6/21/2012 Terminated)State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
Visual representation of state registrations
This advisor is not registered in any state.
Exams
State Security Law Exam
State Security Law Exam
General Industry/Product Exam
General Industry/Product Exam
RR
Series 55
Date: 11/4/1998
Limited Representative-Equity Trader ExamGeneral Industry/Product Exam
RR
Series 1
Date: 3/3/1967
Registered Representative ExaminationPrincipal/Supervisory Exam
Principal/Supervisory Exam
Principal/Supervisory Exam
RR
Series 00
Date: 4/3/1971
General Securities Principal ExaminationCurrent Firm
CA
CORECAP ADVISORS
ADVANTAGE BENEFITS & RETIREMENT | WWW.GOLDLINE.FINANCIAL | WOOSTER FINANCIAL | WEALTH TRAC MANAGEMENT | WEALTH TRAC FINANCIAL LLC | WEALTH TRAC FINANCIAL | WEALTH GUIDE FINANCIAL | VOYAGEUR ADVISORY GROUP | VFG ASSOCIATES | TRUE NORTH ADVISORS | TREW FINANCIAL & BENEFITS GROUP, INC. | TOTAL BENEFIT SERVICES | TORO FINANCIAL | TLC WEALTH | TLC INSURANCE GROUP | TELLURIDE FINANCIAL, INC. | TBS RETIREMENT PLANNING | TALLOU FINANCIAL SERVICES | STRATEGIC PLANNING GROUP | STIVERS LAW | STIVERS FINANCIAL SERVICES | SPEIR FINANCIAL SERVICES | SPARTAN FINANCIAL GROUP | SOULENCE TAX & WEALTH ADVISORS | SOLOMON FINANCIAL | SMITHS FINANCIAL SOLUTIONS | SMITH FINANCIAL SOLUTIONS | SLEEP WELL RETIREMENT | SKOLNIK RETIREMENT SOLUTIONS, LLC | SIS FINANCIAL GROUP | SIMASKO FINANCIAL | SENIOR HEALTH BENEFITS | SECURE RETIREMENT QUESTS | SECURE MY FUNDS | SECURE INCOME SOLUTIONS | SAA FINANCIAL | RUNESTAD FINANCIAL SERVICES, LTD | ROMAIN FINANCIAL | RJP ESTATE PLANNING | REITER FINANCIAL SERVICES | RED KITE CAPITAL | QUEST FINANCIAL | PRINCIPIUM TACTICAL WEALTH MANAGEMENT | PRINCIPIUM | PRESERVE WEALTH OKLAHOMA | PETTIFORD FINANCIAL AND WEALTH MANAGEMENT | PETERSON HARRIS, INC. | PATHWAY FINANCIAL GROUP | OWRS | ORAY-KING WEALTH ADVISORS | ODYSSEY PRIVATE WEALTH | NICOLE E. BREW & CREW | NICOLE BREWER & ASSOCIATES | NEXT FRONTIER FINANCIAL | MIDWEST RETIREMENT ADVISORS | METROKAS KAMISON ASSOCIATES | METHOD INVESTMENT GROUP | MANNOR FINANCIAL SERVICES | MANNOR FINANCIAL GROUP | LMA FINANCIAL SERVICES | LIFESTYLE WEALTH MANAGEMENT | LIFE INCOME MANAGEMENT | LEISER FINANCIAL | LASTER FINANCIAL | LAKE COUNTY FINANCIAL GROUP | LABADIE FINANCIAL | KRISTOPHER CURTIS FINANCIAL | KLAUENBERG RETIREMENT SOLUTIONS | KCS FINANCIAL GROUP | KAPONO CHUN & ASSOCIATES | JOSEPH FINANCIAL GROUP | JM FINANCIAL & ACCOUNTING SERVICES | JM FINANCIAL & ACCOUNT SERVICES | JERCON WEALTH MANAGEMENT | JACKSON KENNEDY | INSURANCE ADVANTAGE & LMA FINANCIAL SERVICES | INGOLD GROUP, LLC | HORIZON INSURANCE BROKERAGE GROUP, LLC | HAKIM FINANCIAL. INC. | HAKIM FINANCIAL | GOLDLINE FINANCIAL | GILLIKIN & ASSOCIATES | GET MY BENCHMARK | GEARY AGENCY | GAUCI & ASSOCIATES | G&H FINANCIAL GROUP | FRONTIER WEALTH MANAGEMENT | FREEDOM WEALTH MANAGEMENT | FORT WEALTH MANAGEMENT | FOREVER FREE FINANCIAL | FIRST FINANCIAL GROUP USA | FINANCIAL FITNESS | FFI | EXECUTIVE PLAN SERVICES | EXECUTIVE FINANCIAL GROUP | ESTATE PLANNING & PRESERVATION | ESPERO & PARTNERS | EDGEROCK WEALTH MANAGEMENT | DWORETSKY FINANCIAL | DUGAN BROWN | DIGNITY LIFE MARKETING GROUP, LLC | DAN WHITE & ASSOCIATES | CROSSROADS ADVISORY GROUP | CREATIVE FINANCIAL SOLUTIONS | CREATIVE ASSET CONSULTANTS, INC. | COUGHLIN WEALTH MANAGEMENT, LLC | CORNERSTONE FINANCIAL SERVICES, LLC | CORNERSTONE FINANCIAL SERVICES | CORECAP ADVISORS, LLC | CORECAP ADVISORS, INC. | CORECAP ADVISORS | CORE CAPITAL ADVISORS | COOPER AND ADEL FINANCIAL | COOPER ADEL VU FINANCIAL | COOPER ADEL & VU FINANCIAL | CONVERGENCE FINANCIAL ADVISORS, INC. | CONVERGENCE FINANCIAL ADVISORS | CONNERS WEALTH MANAGEMENT | COMMONWEALTH STRATEGY ADVISORS | CITY CENTER FINANCIAL | CFS | CASTLE WEST FINANCIAL, LLC | CAPITAL CHOICE SOUTHWEST | CAPITAL CHOICE FINANCIAL SERVICES | CAPITAL CHOICE FINANCIAL GROUP | CAPITAL CHOICE | BURLOS MARKETING | BRAD MAY & ASSOCIATES AGENCY INC. | BISHOP WEALTH PLANNING | BETTER LIFE FINANCIAL GROUP | BETH MOORES FINANCIAL | BENCHMARK | BALANCED PROFITS | B MAY & ASSOCIATES | AZOURY FINANCIAL | ASSET WEALTH MANAGEMENT | ASSET MANAGEMENT & ADVISORY SERVICES OF LEE COUNTY | ARCH BENEFITS GROUP | APEX WEALTH MANAGEMENT | ANDRIKOS FINANCIAL PARTNERS | AMERICAN PROSPERITY GROUP, LLC | ALPHA ADVISORS | ALPERT RETIREMENT ADVISING | AFFORDABLE INSURANCE NETWORK
CRD#: 158819 / SEC#: 801-72687
RIA
Registered Investment Advisory firm - (8/30/2011 Approved)Illinois
Registered Investment Advisory firm - (6/21/2012 Terminated)Upgrade to AdvisorCheck Premium
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Contact information
Main Address
27777 Franklin Road Suite 700, Southfield, MI 48034
Mailing Address
Phone number
(888) 296-3360
Established
Firm type
Fiscal year end
# of Employees
111
SEC notice filing (52 States and Territories)
Documents
Regulatory assets under management
| Total Number of Accounts | 9,157 |
| AUM (Assets Under Management) | $ 3,167,350,865 |
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.
