DS
David G. Schroll
THE STRATEGIC FINANCIAL ALLIANCE
Atlanta, GA 30345
Some features on this profile are disabled
CRD#: 5055067
DS
Professional summary
David Gerard Schroll, who also goes by David Gerard Schroll, is a registered financial advisor currently at THE STRATEGIC FINANCIAL ALLIANCE, INC. located in Atlanta, Georgia.
David is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 2006. David has worked at 11 firms and has passed the Series 66, SIE, Series 7, Series 53, Series 4 and Series 24 exams.
Question & Answer
Are you a "fiduciary"?
Yes
Aliases
David Gerard Schroll
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) - RIA
Click below to view David Gerard Schroll's CRS (Customer Relationship Summary).
CRS (Client Relationship Summary) - BD
Click below to view David Gerard Schroll'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 14, 2022 - Present
THE STRATEGIC FINANCIAL ALLIANCE, INC.
Office #1: 2200 Century Parkway Suite 500, Atlanta, GA 30345Office #2: 2200 Century Parkway Suite 500, Atlanta, GA 30345RIA
BD
CRD#: 126514
Atlanta, GA
Current
April 13, 2022 - Present
THE STRATEGIC FINANCIAL ALLIANCE, INC.
Office #1: 2200 Century Parkway Suite 500, Atlanta, GA 30345Office #2: 2200 Century Parkway Suite 500, Atlanta, GA 30345RIA
BD
CRD#: 126514
Atlanta, GA
Past
May 25, 2021 - March 25, 2022
TRIAD ADVISORS LLC
BD
CRD#: 25803
ATLANTA, GA
Past
May 25, 2021 - March 25, 2022
SECURITIES AMERICA, INC.
BD
CRD#: 10205
LAVISTA, NE
Past
December 5, 2016 - March 25, 2022
WOODBURY FINANCIAL SERVICES, INC.
RIA
CRD#: 421
ATLANTA, GA
Past
December 5, 2016 - March 25, 2022
OSAIC SERVICES, INC.
RIA
CRD#: 133763
ATLANTA, GA
Past
December 5, 2016 - March 25, 2022
OSAIC WEALTH, INC.
RIA
CRD#: 23131
ATLANTA, GA
Past
December 5, 2016 - March 25, 2022
FSC SECURITIES CORPORATION
RIA
CRD#: 7461
ATLANTA, GA
Past
December 1, 2016 - March 25, 2022
WOODBURY FINANCIAL SERVICES, INC.
BD
CRD#: 421
OAKDALE, MN
Past
December 1, 2016 - March 25, 2022
OSAIC SERVICES, INC.
BD
CRD#: 133763
SCOTTSDALE, AZ
Past
December 1, 2016 - March 25, 2022
OSAIC WEALTH, INC.
BD
CRD#: 23131
SCOTTSDALE, AZ
Past
December 1, 2016 - March 25, 2022
FSC SECURITIES CORPORATION
BD
CRD#: 7461
ATLANTA, GA
Past
February 8, 2016 - October 21, 2016
RFG ADVISORY, LLC
RIA
CRD#: 158401
VESTAVIA HILLS, AL
Past
May 15, 2015 - November 8, 2016
LPL FINANCIAL LLC
BD
CRD#: 6413
VESTAVIA HILLS, AL
Past
September 5, 2013 - April 15, 2015
KALOS CAPITAL, INC.
BD
CRD#: 44337
ALPHARETTA, GA
Past
January 23, 2007 - July 18, 2011
FSC SECURITIES CORPORATION
RIA
CRD#: 7461
ATLANTA, GA
Past
January 5, 2007 - July 18, 2011
FSC SECURITIES CORPORATION
BD
CRD#: 7461
ATLANTA, GA
Past
February 14, 2006 - June 16, 2006
AMERIPRISE FINANCIAL SERVICES, LLC
RIA
CRD#: 6363
BIRMINGHAM, AL
Past
January 24, 2006 - June 16, 2006
AMERIPRISE FINANCIAL SERVICES, LLC
BD
CRD#: 6363
BIRMINGHAM, AL
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".
TS
THE STRATEGIC FINANCIAL ALLIANCE, INC.
ADAMS FINANCIAL SERVICES | WELLSPRING ADVISORY SERVICES, LLC | TOM BECK COMPANY | THE STRATEGIC FINANCIAL ALLIARCE | THE STRATEGIC FINANCIAL ALLIANCE, INC. | THE STRATEGIC FINANCIAL ALLIANCE | THE RAPPAHANNOCK WEALTH ADVISORS, INC. | THE BAKER FINANCIAL GROUP, LLC | STARR CAPITAL | SNYDER FINANCIAL GROUP | SHERPA FINANCIAL ADVISORS | RELIANCE ADVISORY SERVICES, INC. | RAUSCH FINANCIAL SERVICES | PRIVATE CLIENT ADVISORY | PREHMUS FINANCIAL PARTNERS | OAK WEALTH MANAGEMENT | O'NEIL FINANCIAL ADVISORS | NORTH GEORGIA WEALTH ADVISORS | NAKAMURA STRATEGIC FINANCIAL PLANNING | MONEY CONCEPTS, INC. | MAIN ADVISORY | LFA PRIVATE WEALTH MANAGEMENT | LEGACY FINANCIAL ASSOCIATES | KOEHN FINANCIAL GROUP | KNIGHT ASSET MANAGEMENT | KJM WEALTH MANAGEMENT | KEOWEE FINANCIAL GROUP, INC. | KEIHATSU WEALTH MANAGEMENT | KEEN ADVISOR GROUP | KEEN & POCOCK | KAP FINANCIAL SOLUTIONS | GROWTHPOINT ADVISORS, LLC | GOLDEN SWORD ALLIANCE | GEORGIA WEALTH PARTNERS | GENCREST CAPITAL PARTNERS | FRANK REYNOLDS AND COMPANY | FINANCIAL PLANNING ADVISORY SERVICE, INC. | ENCORE FINANCIAL CONSULTING | DUNN FINANCIAL SERVICES | DERAND CAPITAL MANAGEMENT GROUP / THE RETIREMENT COACH | DAVIS WEALTH PLANNING | CORRIGAN FINANCIAL | CORNERSTONE WEALTH SERVICES | CORNERSTONE WEALTH MANAGEMENT | COMPASS WEALTH MANAGEMENT | CAROLINA WEALTH ADVISORS | CARNEGIE WEALTH MANAGEMENT | CARLYLE WEALTH MANAGEMENT | CAPITAL INSIGHT GROUP | BOWERS PRIVATE WEALTH MANAGEMENT | BENNCO ADVISORS
CRD#: 126514 / SEC#: 801-62226, 8-65885
RIA
Registered Investment Advisory firm - SEC (7/18/2003 Approved)BD
Broker-Dealer Firm Regulated by FINRA (Atlanta district office)
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
IAR
means the advisor is registered as an Investment Advisor Representative in this state and is authorized to provide investment advice to clients there.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(1/6/2025)
RR
Alaska(1/7/2025)
RR
Arizona(1/8/2025)
RR
Arkansas(1/7/2025)
RR
California(1/7/2025)
RR
Colorado(1/6/2025)
RR
Connecticut(1/7/2025)
RR
Delaware(1/21/2025)
RR
District of Columbia(1/6/2025)
RR
Florida(1/6/2025)
RR
Georgia(4/13/2022)
IAR
Georgia(4/14/2022)
RR
Hawaii(1/7/2025)
RR
Idaho(1/13/2025)
RR
Illinois(1/9/2025)
RR
Indiana(1/6/2025)
RR
Iowa(1/9/2025)
RR
Kansas(1/6/2025)
RR
Kentucky(1/6/2025)
RR
Louisiana(1/6/2025)
RR
Maine(1/6/2025)
RR
Maryland(1/6/2025)
RR
Massachusetts(1/7/2025)
RR
Michigan(1/8/2025)
RR
Minnesota(1/6/2025)
RR
Mississippi(1/8/2025)
RR
Missouri(1/7/2025)
RR
Montana(1/9/2025)
RR
Nebraska(1/6/2025)
RR
Nevada(1/6/2025)
RR
New Hampshire(1/7/2025)
RR
New Jersey(1/30/2025)
RR
New Mexico(1/7/2025)
RR
New York(1/7/2025)
RR
North Carolina(1/7/2025)
RR
North Dakota(1/14/2025)
RR
Ohio(1/6/2025)
RR
Oklahoma(1/8/2025)
RR
Oregon(1/11/2025)
RR
Pennsylvania(1/7/2025)
RR
Puerto Rico(1/6/2025)
RR
Rhode Island(1/8/2025)
RR
South Carolina(1/9/2025)
RR
South Dakota(1/7/2025)
RR
Tennessee(1/7/2025)
RR
Texas(1/7/2025)
RR
Utah(1/8/2025)
RR
Vermont(1/7/2025)
RR
Virginia(1/6/2025)
RR
Washington(1/6/2025)
RR
West Virginia(1/7/2025)
RR
Wisconsin(1/7/2025)
RR
Wyoming(1/6/2025)
Exams
State Security Law Exam
General Industry/Product Exam
General Industry/Product Exam
Principal/Supervisory Exam
Principal/Supervisory Exam
Principal/Supervisory Exam
SRO Registrations
RR
FINRA
Current Firm
TS
THE STRATEGIC FINANCIAL ALLIANCE, INC.
ADAMS FINANCIAL SERVICES | WELLSPRING ADVISORY SERVICES, LLC | TOM BECK COMPANY | THE STRATEGIC FINANCIAL ALLIARCE | THE STRATEGIC FINANCIAL ALLIANCE, INC. | THE STRATEGIC FINANCIAL ALLIANCE | THE RAPPAHANNOCK WEALTH ADVISORS, INC. | THE BAKER FINANCIAL GROUP, LLC | STARR CAPITAL | SNYDER FINANCIAL GROUP | SHERPA FINANCIAL ADVISORS | RELIANCE ADVISORY SERVICES, INC. | RAUSCH FINANCIAL SERVICES | PRIVATE CLIENT ADVISORY | PREHMUS FINANCIAL PARTNERS | OAK WEALTH MANAGEMENT | O'NEIL FINANCIAL ADVISORS | NORTH GEORGIA WEALTH ADVISORS | NAKAMURA STRATEGIC FINANCIAL PLANNING | MONEY CONCEPTS, INC. | MAIN ADVISORY | LFA PRIVATE WEALTH MANAGEMENT | LEGACY FINANCIAL ASSOCIATES | KOEHN FINANCIAL GROUP | KNIGHT ASSET MANAGEMENT | KJM WEALTH MANAGEMENT | KEOWEE FINANCIAL GROUP, INC. | KEIHATSU WEALTH MANAGEMENT | KEEN ADVISOR GROUP | KEEN & POCOCK | KAP FINANCIAL SOLUTIONS | GROWTHPOINT ADVISORS, LLC | GOLDEN SWORD ALLIANCE | GEORGIA WEALTH PARTNERS | GENCREST CAPITAL PARTNERS | FRANK REYNOLDS AND COMPANY | FINANCIAL PLANNING ADVISORY SERVICE, INC. | ENCORE FINANCIAL CONSULTING | DUNN FINANCIAL SERVICES | DERAND CAPITAL MANAGEMENT GROUP / THE RETIREMENT COACH | DAVIS WEALTH PLANNING | CORRIGAN FINANCIAL | CORNERSTONE WEALTH SERVICES | CORNERSTONE WEALTH MANAGEMENT | COMPASS WEALTH MANAGEMENT | CAROLINA WEALTH ADVISORS | CARNEGIE WEALTH MANAGEMENT | CARLYLE WEALTH MANAGEMENT | CAPITAL INSIGHT GROUP | BOWERS PRIVATE WEALTH MANAGEMENT | BENNCO ADVISORS
CRD#: 126514 / SEC#: 801-62226, 8-65885
RIA
Registered Investment Advisory firm - SEC (7/18/2003 Approved)BD
Broker-Dealer Firm Regulated by FINRA (Atlanta district office)
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Contact information
Main Address
2200 Century Parkway Suite 500, Atlanta, GA 30345
Mailing Address
2200 Century Parkway Suite 500, Atlanta, GA 30345
Phone number
(678) 954-4000
Established
Georgia since 02/13/2003
Firm type
Corporation
Fiscal year end
December
Firm Size
Small
# of Employees
63
SEC notice filing (50 States and Territories)
FINRA licenses (53 States and Territories)
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| SFA HOLDINGS, INC. | SHAREHOLDER | |
| COPELAND, JOSEPH KILLINGSWORTH | VICE PRESIDENT, INFORMATION SYSTEMS & TECHNOLOGY | 6847982 |
| GOLDSMITH, ARTHUR BERTRAM | SVP | 706059 |
| HARRELL, VERONICA RAY | ASSISTANT VICE-PRESIDENT | 5898449 |
| JONES, DEADERICK K | VICE PRESIDENT, CCO | 3029947 |
| SCHROLL, DAVID | VICE-PRESIDENT SUPERVISION | 5055067 |
| SLOVIN, CLIVE | DIRECTOR | 1101301 |
| SULLIVAN, JULIE ANN | PRESIDENT, DIRECTOR | 1112088 |
| TATUM, ANNA ELISE | CFO | 7273094 |
Regulatory assets under management
| Total Number of Accounts | 1,394 |
| AUM (Assets Under Management) | $ 470,940,835 |
Disclosures
| Regulatory Event | 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.
