Arnold E. 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.
Arnold Edward Carroll was a registered financial professional .
Arnold is a previously registered financial professional and started their career in finance in 2014. Arnold had worked at 4 firms and has passed the Series 66, SIE 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
August 17, 2015 - March 18, 2016
TILIA FIDUCIARY PARTNERS, INC.
December 15, 2014 - July 20, 2015
QUESTAR ASSET MANAGEMENT, INC.
October 14, 2014 - July 20, 2015
QUESTAR CAPITAL CORPORATION
May 12, 2014 - August 11, 2014
EDWARD JONES
Primary Firm SEC Registration
TILIA FIDUCIARY PARTNERS, INC.
CRD#: 157852 / SEC#: 801-120194
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
TILIA FIDUCIARY PARTNERS, INC.
CRD#: 157852 / SEC#: 801-120194
Contact information
SEC notice filing (8 States and Territories)
Documents
Regulatory assets under management
| Total Number of Accounts | 934 |
| AUM (Assets Under Management) | $ 413,933,696 |
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.
