DC
David A. Carroll
TRUIST SECURITIES
BOSTON, MA 02110
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CRD#: 4353588
DC
Professional summary
David Allan Carroll is a registered financial professional currently at TRUIST SECURITIES, INC. located in Boston, Massachusetts.
David is registered as a RR (Registered Representative) and started their career in finance in 2001. David has worked at 3 firms and has passed the Series 63, Series 79TO, SIE and Series 7 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) - BD
Click below to view David Allan Carroll's CRS (Customer Relationship Summary).
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
Current
April 7, 2015 - Present
TRUIST SECURITIES, INC.
Office #1: 101 Arch St Fl 15, Boston, MA 02110BD
CRD#: 6271
BOSTON, MA
Past
March 27, 2009 - April 6, 2015
HSBC SECURITIES (USA) INC.
BD
CRD#: 19585
NEW YORK CITY, NY
Past
November 1, 2007 - October 29, 2008
ABN AMRO INCORPORATED
BD
CRD#: 15776
STAMFORD, CT
Past
March 4, 2002 - July 16, 2007
ABN AMRO INCORPORATED
BD
CRD#: 15776
NEW YORK, NY
Past
June 19, 2001 - December 19, 2001
ABN AMRO INCORPORATED
BD
CRD#: 15776
STAMFORD, CT
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
RR
indicates the advisor is registered as a Registered Representative in this state, allowing them to offer securities such as stocks, bonds, and mutual funds through a broker-dealer.Visual representation of state registrations
RR
Alabama(6/27/2018)
RR
Alaska(6/27/2018)
RR
Arizona(6/27/2018)
RR
Arkansas(6/27/2018)
RR
California(6/27/2018)
RR
Colorado(6/27/2018)
RR
Connecticut(4/7/2015)
RR
Delaware(6/27/2018)
RR
District of Columbia(6/27/2018)
RR
Florida(6/27/2018)
RR
Georgia(6/27/2018)
RR
Hawaii(6/27/2018)
RR
Idaho(6/27/2018)
RR
Illinois(6/27/2018)
RR
Indiana(6/27/2018)
RR
Iowa(6/27/2018)
RR
Kansas(6/27/2018)
RR
Kentucky(6/27/2018)
RR
Louisiana(6/27/2018)
RR
Maine(4/7/2015)
RR
Maryland(6/27/2018)
RR
Massachusetts(4/7/2015)
RR
Michigan(6/27/2018)
RR
Minnesota(6/27/2018)
RR
Mississippi(6/27/2018)
RR
Missouri(6/27/2018)
RR
Montana(6/27/2018)
RR
Nebraska(6/27/2018)
RR
Nevada(6/27/2018)
RR
New Hampshire(4/7/2015)
RR
New Jersey(6/27/2018)
RR
New Mexico(6/27/2018)
RR
New York(4/7/2015)
RR
North Carolina(6/28/2018)
RR
North Dakota(6/27/2018)
RR
Ohio(6/27/2018)
RR
Oklahoma(6/27/2018)
RR
Oregon(6/27/2018)
RR
Pennsylvania(6/27/2018)
RR
Puerto Rico(6/27/2018)
RR
Rhode Island(4/7/2015)
RR
South Carolina(6/27/2018)
RR
South Dakota(6/27/2018)
RR
Tennessee(6/27/2018)
RR
Texas(6/27/2018)
RR
Utah(6/27/2018)
RR
Vermont(4/7/2015)
RR
Virginia(6/27/2018)
RR
Washington(6/27/2018)
RR
West Virginia(6/27/2018)
RR
Wisconsin(6/27/2018)
RR
Wyoming(6/27/2018)
Exams
State Security Law Exam
General Industry/Product Exam
RR
Series 79TO
Date: 1/2/2023
Investment Banking Registered Representative ExaminationGeneral Industry/Product Exam
General Industry/Product Exam
SRO Registrations
RR
FINRA
SRO Registrations
RR
Nasdaq Stock Market
Current Firm
TS
TRUIST SECURITIES, INC.
ALEXANDER KEY INVESTMENTS | TRUIST SECURITIES, INC. | SUNTRUST ROBINSON HUMPHREY, INC. | SUNTRUST ROBINSON HUMPHREY | SUNTRUST EQUITABLE SECURITIES CORPORATION | SUNTRUST EQUITABLE SECURITIES | SUNTRUST CAPITAL MARKETS, INC. | SUNTRUST CAPITAL MANAGEMENT, INC. | EQUITABLE SECURITIES CORPORATION
CRD#: 6271 / SEC#: , 8-17212
BD
Broker-Dealer Firm Regulated by FINRA (Atlanta district office)
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Contact information
Main Address
740 Battery Ave, Atlanta, GA 30339
Mailing Address
740 Battery Ave, Atlanta, GA 30339
Phone number
(404) 926-5600
Established
Tennessee since 07/01/1972
Firm type
Corporation
Fiscal year end
December
Firm Size
Large
# of Employees
FINRA licenses (52 States and Territories)
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| TRUIST FINANCIAL CORPORATION | PARENT COMPANY | |
| COLEMAN, SHELLEY BRENNAN | AML OFFICER | 3163295 |
| FARRELL, KATHLEEN ANNE | BOARD MEMBER | 4038178 |
| HACKETT, THOMAS PATRICK | CHAIRMAN OF THE BOARD & CHIEF EXECUTIVE OFFICER | 2878035 |
| HUFFSTETLER, MARK | BOARD MEMBER AND CHIEF CREDIT OFFICER | 2830214 |
| HUMPHREYS, ADAM | SECRETARY AND CHIEF LEGAL OFFICER | 7866934 |
| JESSANI, KERRY | BOARD MEMBER | 5048754 |
| MILLIGAN, JOHN | PRINCIPAL OPERATIONS OFFICER | 3206391 |
| MORRIS, DONALD ROSS JR | CHIEF FINANCIAL OFFICER | 3231801 |
| PAPPAS, ALBERT GEORGE | CHIEF COMPLIANCE OFFICER | 1875535 |
Disclosures
| Regulatory Event | 22 |
| 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.
Company Information
TRUIST SECURITIES, INC.
CRD#: 6271Boston, MA 02110TRUST BUT VERIFY
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