Michael Louis Carroll
Professional Summary
Michael Louis Carroll is a registered financial advisor currently at TRITON PACIFIC SECURITIES, LLC located in Richmond, Virginia. Michael is registered as a RR (Registered Representative) and started their career in finance in 2007. Michael has worked at 1 firm and has passed the Series 79TO, Series 99TO, SIE and Series 27 exams.
At a Glance
Fiduciary Standard
Fee Structure
Account Minimum
Active Clients
Fiduciary Standard
Fee Structure
Account Minimum
Active Clients
Other Aliases
There are no additional aliases reported.
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Videos & Posts
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Contact Information
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Disclosures are events reported to regulators, such as customer disputes, regulatory actions, employment separations, or financial events. Some are resolved, denied, or contested — a disclosure is not a verdict. We recommend asking an advisor directly about any disclosure on their record.
Disclosures on record.
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Years of Experience
19 years in the financial services industry
Current & Past Employments
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Current Firm
TP SECURITIES, LLC | TRITON PACIFIC SECURITIES, LLC
Contact Information
Main Address
2301 Rosecrans Avenue Suite 4170, El Segundo, CA 90245Mailing Address
2301 Rosecrans Avenue Suite 4170, El Segundo, CA 90245Phone Number
(949) 429-8500Established
Delaware since 01/03/2005Firm Type
Limited Liability CompanyFiscal Year End
DecemberFirm Size
SmallFINRA licenses (52 States and Territories)
Registered to provide investment advisory services in 0 US states and territories.
Documents
Direct owners and executive officers
Disclosures
Regulatory Event
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Other business activities
Information obtained from regulatory filings. Advisors can request corrections through their firm or regulator.
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.
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State Registrations and Notice Filings
Exams
Financial professionals may take different exams throughout their careers based on the types of services they provide and roles they perform.
Series 79TO — Investment Banking Registered Representative Examination
Passed Aug 2026About the Series 79TO examSRO Registrations
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CRS (Client Relationship Summary) - BD
Click below to view Michael Louis Carroll's CRS (Customer Relationship Summary).
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AMERIPRISE FINANCIAL SERVICES, LLC
