David M. Carroll
ROCKBRIDGE INVESTMENT MANAGEMENT
Syracuse, NY 13202
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CRD#: 6034191
Professional summary
David Matthew Carroll, CFP®, who also goes by David M Carroll, is a registered financial advisor currently at ROCKBRIDGE INVESTMENT MANAGEMENT, LLC located in Syracuse, New York.
David is registered as an IAR (Investment Advisor Representative) and started their career in finance in 2012. David has worked at 3 firms and has passed the Series 66, Series 63, SIE, Series 7 and Series 6 exams.
Biography
How I got here:
I have always been passionate about financial planning, and after graduating from Le Moyne College I worked for a large financial services firm. I soon realized the investment philosophy used at these larger brokerage firms was not aligned with my beliefs, which brought me to Rockbridge. I am now proud to say I work for a firm that truly acts in the best interest of their clients.
Favorite part of the job:
I enjoy helping people make sense of their financial situation. Being able to make a difference by simplifying people’s finances is very rewarding and is something I thoroughly enjoy.
Education:
CERTIFIED FINANCIAL PLANNER™, (CFP®)
Finance (B.S.), Le Moyne College
Beneath the surface:
In my spare time, I enjoy playing hockey and golf. I am a huge Buffalo Sabres fan and enjoy watching hockey in general. Also, people find it particularly interesting that I am an identical twin.
Contact:
Call 315.671.0588 or email dcarroll@rockbridgeinvest.com.
Question & Answer
What are your service offerings?
Investment Planning
Retirement Planning
Insurance Planning
Comprehensive Financial Planni...
Do you have an area of expertise or specialization?
High Net Worth Client Needs
Investment Advice with Ongoing...
Middle Income Client Needs
Tax Planning
What is your minimum asset requirement?
5M
Are you a "fiduciary"?
Yes
Aliases
David M Carroll
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 Matthew 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®
CFP®
Start date: 2017
Experience
Current
May 7, 2021 - Present
ROCKBRIDGE INVESTMENT MANAGEMENT, LLC
Office #1: 220 South Warren Street 9th Floor, Syracuse, NY 13202RIA
CRD#: 115754
Syracuse, NY
Past
December 23, 2013 - October 30, 2014
WELLS FARGO CLEARING SERVICES, LLC
RIA
CRD#: 19616
SYRACUSE, NY
Past
November 7, 2013 - October 30, 2014
WELLS FARGO CLEARING SERVICES, LLC
BD
CRD#: 19616
SYRACUSE, NY
Past
July 9, 2012 - May 13, 2013
MUTUAL OF OMAHA INVESTOR SERVICES, INC.
BD
CRD#: 611
YORKVILLE, NY
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".
ROCKBRIDGE INVESTMENT MANAGEMENT, LLC
AGRI-INVEST, INC. | ROCKBRIDGE INVESTMENT MANAGEMENT, LLC | AQRI- INVEST, LLC | AQRI- INVEST | AGRI-INVEST, LLC
CRD#: 115754 / SEC#: 801-60639
RIA
Registered Investment Advisory firm - (10/18/2001 Approved)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.Highlighted states indicate IAR registrations
IAR
New York(5/7/2021)
Exams
State Security Law Exam
State Security Law Exam
General Industry/Product Exam
General Industry/Product Exam
General Industry/Product Exam
Current Firm
ROCKBRIDGE INVESTMENT MANAGEMENT, LLC
AGRI-INVEST, INC. | ROCKBRIDGE INVESTMENT MANAGEMENT, LLC | AQRI- INVEST, LLC | AQRI- INVEST | AGRI-INVEST, LLC
CRD#: 115754 / SEC#: 801-60639
RIA
Registered Investment Advisory firm - (10/18/2001 Approved)Upgrade to AdvisorCheck Premium
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Contact information
Main Address
220 South Warren Street 9th Floor, Syracuse, NY 13202
Mailing Address
Phone number
(315) 671-0588
Established
Firm type
Fiscal year end
# of Employees
21
SEC notice filing (18 States and Territories)
Documents
Regulatory assets under management
| Total Number of Accounts | 4,108 |
| AUM (Assets Under Management) | $ 1,660,732,364 |
Red Flags
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Company Information
ROCKBRIDGE INVESTMENT MANAGEMENT, LLC
CRD#: 115754Syracuse, NY 13202TRUST BUT VERIFY
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