Timothy J. 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.
Timothy John Carroll was a registered financial professional .
Timothy is a previously registered financial professional and started their career in finance in 2005. Timothy had worked at 4 firms and has passed the Series 63 and Series 7 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
February 11, 2011 - March 17, 2014
USAA FINANCIAL ADVISORS, INC.
February 1, 2011 - March 17, 2014
USAA FINANCIAL PLANNING SERVICES
May 8, 2009 - September 29, 2010
OLD NORTH ADVISORS, LLC
October 5, 2005 - November 5, 2007
GW & WADE ASSET MANAGEMENT COMPANY, LLC
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
USAA FINANCIAL ADVISORS, INC.
CRD#: 129035 / SEC#: , 8-66197
Contact information
Documents
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.
