Zachary Cade Mccarroll
Professional Summary
Zachary Cade Mccarroll, who also goes by Zac Mccarroll, is a registered financial advisor currently at APOGEM CAPITAL LLC located in Austin, Texas and NYLIFE DISTRIBUTORS LLC located in Richmond, Virginia. Zachary is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 2015. Zachary has worked at 3 firms and has passed the Series 63, SIE and Series 7 exams.
At a Glance
Fiduciary Standard
Fee Structure
Account Minimum
Active Clients
Fiduciary Standard
Fee Structure
Account Minimum
Active Clients
Other Aliases
Zac Mccarroll
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Videos & Posts
This advisor has not added any videos or posts yet.
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Contact Information
This advisor has not claimed their profile yet, so there is no contact information to display at this time.
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Disclosures on record.
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.
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Years of Experience
12 years registered in the securities industry
Current & Past Employments
Current
Past
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Current Firm
APOGEM CAPITAL LLC | RIDGELAKE PARTNERS (NYLI) | NEW YORK LIFE INVESTMENTS ALTERNATIVES LLC
Contact Information
Main Address
299 Park Avenue 37th Floor, New York, NY 10171Phone Number
(212) 601-3600# of Employees
259SEC notice filing (7 States and Territories)
Registered to provide investment advisory services in 7 US states and territories.
Documents
Part 2 Brochures
Regulatory Assets Under Management
Total Number of Accounts
144AUM (Assets Under Management)
$43,819,423,421Similar Advisors
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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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Primary Firm SEC Registration
APOGEM CAPITAL LLC | RIDGELAKE PARTNERS (NYLI) | NEW YORK LIFE INVESTMENTS ALTERNATIVES LLC
State Registrations and Notice Filings
(12/22/2015)
(12/22/2015)
(1/13/2015)
(6/10/2020)
(1/9/2015)
Don't see your state listed? The advisor may still be able to work with you under the federal De Minimis Rule, which allows up to five investment advisory clients in a state without registration. Some states, like TX, LA, NE, and NH, may still require registration or notice filing. Contact the advisor or their firm to confirm their investment advisory availability in your state.Note:This rule does not apply to broker-dealer activity.
Exams
Financial professionals may take different exams throughout their careers based on the types of services they provide and roles they perform.
SRO Registrations
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CRS (Client Relationship Summary) - RIA
Click below to view Zachary Cade Mccarroll's CRS (Customer Relationship Summary).
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