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Charles B Carroll

Edward Jones

North Haven, CT

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Current Employers
Edward Jones

12555 Manchester Rd, St. Louis, MO 63131 • United States

Current Registrations

AuthorityCategoryStatusDate
TX RA APPROVED 2025-01-23
CT RA APPROVED 2024-05-01
  • TX RA
    APPROVED
    Since 2025-01-23
  • CT RA
    APPROVED
    Since 2024-05-01

Branch Locations

2 George Street, North Haven, CT 06473 • 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
Td Ameritrade West Hartford CT 03/2010 12/2020
First County Bank Stamford CT 12/2020 11/2023
Edward Jones St Louis MO 03/2024 Present
Unemployed Middlefield CT 11/2023 03/2024
  • 03/2010 → 12/2020
    Td Ameritrade
    West Hartford, CT
  • 12/2020 → 11/2023
    First County Bank
    Stamford, CT
  • 03/2024 → Present
    Edward Jones
    St Louis, MO
  • 11/2023 → 03/2024
    Unemployed
    Middlefield, CT
Previous Registrations
  • 2010-04-26 → 2020-12-08
    Td Ameritrade, Inc.
    Omaha, NE
    Westlake, TX
    Fort Worth, TX
    Hartford, CT
  • 2010-04-26 → 2020-12-08
    Td Ameritrade Investment Management, Llc
    Stamford, CT
    Harford, CT
  • 2009-12-04 → 2010-03-18
    Td Wealth Management Services Inc.
    Plantsville, CT
    North Andover, MA
  • 2006-05-02 → 2009-11-18
    Cetera Investment Services Llc
    White Plains, NY
    Plantsville, CT
  • 2004-08-06 → 2006-05-04
    Essex National Securities, Llc
    Hamden, CT
Exams
CodeExamDate
S66 Uniform Combined State Law Examination 2024-04-29
S65 Uniform Investment Adviser Law Examination 2006-10-04
S63 Uniform Securities Agent State Law Examination 1992-01-14
  • S66 Uniform Combined State Law Examination
    2024-04-29
  • S65 Uniform Investment Adviser Law Examination
    2006-10-04
  • S63 Uniform Securities Agent State Law Examination
    1992-01-14
Designations
Other Names
  • Charles Brian Jr Carroll
  • Charles Brian Carroll
  • Charles Brian Carroll

View on SEC IAPD

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GATEWAY WEALTH PARTNERS, LLC
KEY INVESTMENT SERVICES LLC
BELPOINTE ASSET MANAGEMENT LLC
INNOVATIVE ASSET ADVISORS GROUP

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MAXWELL EDWARD MCLENNA
JOSEPH BRUNO DEDOMENICO
MICHAEL STEPHEN THOMPSON
BRUCE WILLIAM ANESI
BONNIE SVIRIDOFF
JOSEPH F SCHRECK

Other Offices

OSAIC WEALTH, INC. · NORTH HAVEN, CT
CETERA INVESTMENT ADVISERS LLC · NORTH HAVEN, CT
COMMONWEALTH FINANCIAL NETWORK · NORTH HAVEN, CT
LPL FINANCIAL LLC · NORTH HAVEN, CT
GATEWAY WEALTH PARTNERS, LLC · North Haven, CT
KEY INVESTMENT SERVICES LLC · NORTH HAVEN, CT
BELPOINTE ASSET MANAGEMENT LLC · North Haven, CT
INNOVATIVE ASSET ADVISORS GROUP · North Haven, CT

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