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MC

Michael L. Carroll

TRITON PACIFIC SECURITIES
Richmond, VA 23235
Some features on this profile are disabled
CRD#: 5282521
MC

Professional summary

Michael Louis Carroll is a registered financial professional 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 99TO, SIE and Series 27 exams.

top-8-questions

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.

Blog Corner

CRS (Client Relationship Summary) - BD

Click below to view Michael Louis 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®
None

Experience

Current

March 26, 2007 - Present

TRITON PACIFIC SECURITIES, LLC

Office #1: 10800 Midlothian Turnpike Suite 150, Richmond, VA 23235
BD
CRD#: 139919
Richmond, VA

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

General Industry/Product Exam
RR
Series 99TO
Date: 1/2/2023
Operations Professional Examination
General Industry/Product Exam
RR
SIE
Date: 1/2/2023
Securities Industry Essentials Examination
Principal/Supervisory Exam
RR
Series 27
Date: 3/24/2007
Financial and Operations Principal Examination
SRO Registrations
RR
FINRA

Current Firm

TP
TRITON PACIFIC SECURITIES, LLC
TP SECURITIES, LLC | TRITON PACIFIC SECURITIES, LLC

CRD#: 139919 / SEC#: , 8-67262

BD
Broker-Dealer Firm Regulated by FINRA (Los Angeles district office)
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Contact information

Main Address
2301 Rosecrans Avenue Suite 4170, El Segundo, CA 90245
Mailing Address
2301 Rosecrans Avenue Suite 4170, El Segundo, CA 90245
Phone number
(949) 429-8500
Established
Delaware since 01/03/2005
Firm type
Limited Liability Company
Fiscal year end
December
Firm Size
Small
# of Employees

FINRA licenses (52 States and Territories)

Blank US states mapAlaskaHawaiiAlabamaArkansasArizonaCaliforniaColoradoConnecticutDelawareFloridaGeorgiaIowaIdahoIllinoisIndianaKansasKentuckyLouisianaMassachusettsMarylandMaineMichiganMinnesotaMissouriMississippiMontanaNorth CarolinaNorth DakotaNebraskaNew HampshireNew JerseyNew MexicoNevadaNew YorkOhioOklahomaOregonPennsylvaniaRhode IslandSouth CarolinaSouth DakotaTennesseeTexasUtahVirginiaVermontWisconsinWest VirginiaWyoming

Documents

Direct owners and executive officers

NamePositionCRD#
FAGGEN, CRAIG JEFFREYOWNER2734508
BRAVIN, MICHAEL ACCO/COMPLIANCE OFFICER
BUEHLER, BRIAN DAVIDPRESIDENT/CEO3059422
CARROLL, MICHAEL LOUISFINOP/CFO/PRINCIPAL FINANCIAL OFFICER/PRINCIPAL OPERATIONS OFFICER5282521
TRITON PACIFIC CAPITAL PARTNERS, LLC.MANAGING MEMBER
TRITON PACIFIC GROUP, INC.MANAGING MEMBER

Disclosures

Regulatory Event1

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

TRITON PACIFIC SECURITIES, LLC

CRD#: 139919Richmond, VA 23235

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