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David John Carroll

Palisade Financial

Orinda, CA

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Current Employers
Palisade Financial

Orinda, CA • United States

Current Registrations

AuthorityCategoryStatusDate
CA RA APP_PEND_IARCE 2026-01-01
  • CA RA
    APP_PEND_IARCE
    Since 2026-01-01

Branch Locations

Orinda, CA • United States

Disclosures

No disclosure categories reported as “Yes” on this SEC record.

  • Regulatory action No
  • Criminal No
  • Bankruptcy No
  • Civil judicial No
  • Bond No
  • Judgment / lien No
  • Investigation No
  • Customer complaint No
  • Termination No
Employment History
OrganizationCityStateFromTo
Palisade Financial Oakland CA 07/2011 Present
Previous Registrations
  • 2011-09-15 → 2020-12-31
    Palisade Financial
    Orinda, CA
  • 2011-04-26 → 2011-09-07
    Securities America Advisors, Inc.
    Kensington, CA
Exams
CodeExamDate
S66 Uniform Combined State Law Examination 2011-03-17
S63 Uniform Securities Agent State Law Examination 2000-06-16
  • S66 Uniform Combined State Law Examination
    2011-03-17
  • S63 Uniform Securities Agent State Law Examination
    2000-06-16

View on SEC IAPD

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