Charles B Carroll

Employer firm

Edward Jones CRD 250

$1.01T regulatory AUM 28,751 advisory clients

Reported services (Item 5G)

• Financial planning
• Portfolio management (individuals)
• Portfolio management (institutions)
• Pension consulting
• Selection of other advisers

From the firm’s Form ADV. Read the guides:

• Item 5F — Regulatory AUM
• Item 5G — Advisory services
• Full firm profile

Current Employers

Employment History

• 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

• 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

• Certified Financial Planner

Other Names

• Charles Brian Jr Carroll
• Charles Brian Carroll
• Charles Brian Carroll