Michael P Carroll

Current Employers

Employment History

• 05/2012 → Present
  Merrill Lynch, Pierce, Fenner & Smith Incorporated
  Santa Fe, CA
• 07/2012 → Present
  Bank Of America, N.A.
  Santa Fe, CA

Previous Registrations

• 1999-04-08 → 2002-10-28
  Nicholas-Applegate Capital Management Llc
  San Diego, CA

Other Businesses

I*2066431, Entity Type: Entity Charitable Name of OBA: Notre Dame Club of San Diego Address: Santee, CA 92071 Investment Related: N Position, Title, Association: Board Member,Officer Employee Start Date: 01/01/2025 No Hours: 4 No Hours during trading: 0 Duties: Local Alumni Association Club of the University of Notre Dame. I was elected Vice President (officer, board member) for a 2 year term Jan. 1, 2025 to Jan. 1, 2027. I*2097315, Entity Type: Fiduciary, Name of OBA: Cwik Family Trust, Address: Chandler, Arizona, 85225, Investment Related: N, Position, Title, Association: Successor Trustee, Employee State Date: 19-Nov-2024, No Hours: 1 Yearly, No Hours during Trading: 0 Yearly, Duties: I*: 2620259 Entity Type: Charitable Name of OBA: Notre Dame Wealth Management Symposium Steering Committee Address: Notre Dame, Indiana, 46556 Investment Related: No Position, Title, Association: Committee member Employee Start Date: 8/1/2025 Number of Hours: 5 hra mthly Number of Hours during trading: 0 Duties: Networking Symposium for Wealth Management Professionals and Students. Steering Committee--help in setting up first symposium, invite attendees, speakers, brainstorm on structure, etc.

Exams

• S66 Uniform Combined State Law Examination
  2012-09-04
• S65 Uniform Investment Adviser Law Examination
  1999-03-16

Other Names

• Michael Peter Carroll