Thomas P. Carroll

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CRD#: 841753

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.

Thomas Patrick Carroll was a registered financial professional .

Thomas is a previously registered financial professional and started their career in finance in 1977. Thomas had worked at 5 firms and has passed the Series 65, Series 2 and Series 1 exams.

Question & Answer

Are you a "fiduciary"?

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)

The CRS(Customer Relationship Summary) document is not provided.

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

Past

June 3, 2013 - April 24, 2018

CARNEGIE INVESTMENT COUNSEL

RIA

CRD#: 150488

PEPPER PIKE, OH

Past

April 10, 2012 - May 15, 2013

THE ALPINE FINANCIAL GROUP

RIA

CRD#: 119451

CINCINNATI, OH

Past

April 26, 2000 - December 31, 2011

THE ALPINE FINANCIAL GROUP

RIA

CRD#: 119451

CINCINNATI, OH

Past

November 10, 1981 - January 28, 1982

INVESTACORP, INC.

CRD#: 7684

Past

June 26, 1978 - June 10, 1983

NORTHWESTERN MUTUAL INVESTMENT SERVICES, LLC

CRD#: 2881

Past

August 24, 1977 - May 3, 1978

JOHN HANCOCK DISTRIBUTORS LLC

CRD#: 5249

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".

CARNEGIE INVESTMENT COUNSEL

CARNEGIE CAPITAL ASSET MANAGEMENT, LLC | CARNEGIE INVESTMENT COUNSEL

CRD#: 150488 / SEC#: 801-70242

RIA

Registered Investment Advisory firm - (4/30/2009 Approved)

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.

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.

Exams

State Security Law Exam

IAR

Series 65

Date: 3/9/1993

Uniform Investment Adviser Law Examination

General Industry/Product Exam

Series 2

Date: 1/16/1995

Non-Member General Securities Examination

General Industry/Product Exam

Series 1

Date: 8/16/1977

Registered Representative Examination

Current Firm

CARNEGIE INVESTMENT COUNSEL

CARNEGIE CAPITAL ASSET MANAGEMENT, LLC | CARNEGIE INVESTMENT COUNSEL

CRD#: 150488 / SEC#: 801-70242

RIA

Registered Investment Advisory firm - (4/30/2009 Approved)

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Contact information

Main Address

30300 Chagrin Boulevard, Pepper Pike, OH 44124

Mailing Address

Phone number

(216) 367-4114

Established

Firm type

Fiscal year end

# of Employees

SEC notice filing (36 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)

Latest Form ADV

Part 2 Brochures

CARNEGIE FORM ADV PART 2A 03-31-2025 (4/1/2025)

Regulatory assets under management

Total Number of Accounts	8,127
AUM (Assets Under Management)	$ 6,520,130,588

Accountant surprise examination report

Filing Date	Form ADV-E Cover	Form ADV-E Report
11/18/2025	Cover Page	Report
12/09/2024	Cover Page	Report
07/13/2023	Cover Page	Report
02/08/2023	Cover Page	Report

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.

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Advisor Monitoring

Firm Stability Insights

Thomas P. Carroll

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary)

Certified licenses

Experience

THE ALPINE FINANCIAL GROUP

THE ALPINE FINANCIAL GROUP

INVESTACORP, INC.

NORTHWESTERN MUTUAL INVESTMENT SERVICES, LLC

JOHN HANCOCK DISTRIBUTORS LLC

Primary Firm SEC Registration

CARNEGIE INVESTMENT COUNSEL

State Registrations and Notice Filings

Exams

Series 65

Date: 3/9/1993

Series 2

Date: 1/16/1995

Series 1

Date: 8/16/1977

Current Firm

CARNEGIE INVESTMENT COUNSEL

Contact information

SEC notice filing (36 States and Territories)

Documents

Part 2 Brochures

Regulatory assets under management

Accountant surprise examination report

Red Flags

Company Information

CARNEGIE INVESTMENT COUNSEL

TRUST BUT VERIFY

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