Robert Bruce Carroll

Current Employers

Employment History

• 09/2001 → 08/2021
  Avantax Investment Services, Inc.
  N. Tonawanda, NY
• 04/2015 → 08/2021
  78 Niagara Shore Llc
  Tonawanda, NY
• 08/2017 → 08/2021
  Avantax Advisory Services
  N. Tonawanda, NY
• 10/2001 → 08/2021
  Avantax Insurance Agency, Llc
  N. Tonawanda, NY
• 08/2021 → 10/2024
  American Portfolios Financial Svcs
  Holbrook, NY
• 10/2024 → Present
  Osaic Wealth, Inc.
  Scottsdale, AZ

Previous Registrations

• 2021-08-31 → 2024-10-11
  American Portfolios Advisors, Inc
  Holbrook, NY
• 2021-08-21 → 2021-09-03
  Avantax Advisory Services
  N Tonawanda, NY

Other Businesses

1) WHITNEY BRIDGES, LLC 2001 MARCUS AVE, SUITE N118 LAKE SUCCESS NY 11042 1035 Real Estate/Mortgage/Title Services/Appraisal Other 12/21/2016 0hrs~0hrs PURELY A PASSIVE INVESTOR WITH NO RESPONSIBILITY OR AUTHORITY 2) 78 NIAGARA SHORE LLC 78 NIAGARA SHORE DR TONAWANDA NY 14150 Real Estate LLC ~Owner~4/16/2015~1hrs~1hrs~ 3) TWIN CITY FINANCIAL SERVICES LLC 119 GOUNDRY ST., NORTH TONAWANDA, NY 14120 Accounting, start date = 8/1/2016, this entity provides bookkeeping and accounting services. I no longer have any ownership interest in this entity. I am a managing member to provide administrative assistance for no compensation 4) Robert Carroll CPA, 119 Goundry St. North Tonawanda, NY 14120, Tax Preparation/Accounting Owner/Sole Proprietor 1/1/1979 160hrs~160hrs ACCOUNTING FIRM OWNER 5) ARCHIPEL CAPITAL-LINEAGEN LP C/O LUCIEN MORIN, 25 EAST MAIN ST ROCHESTER NY 14614 Professional Services - Business/Individual Other 3/14/2014 0hrs~0hrs LIMITED PARTNER IN A PRIVATE PLACEMENT LP. NO RESPONSIBILITY OR AUTHORITY. PURELY A PASSIVE INVESTOR 6) WNY RBC PROPERTIES LLC POSITION: OWNER, NATURE: THE DUTIES INCLUDE COLLECTING RENTS AND PAYING BILL.INVESTMENT IN LOCAL RESIDENTIAL REAL ESTATE. 100% OWNER OF THE LLC EQUITY. WILL BE AQUIRING LOCAL RESIDENTIAL PROPERTY FROM UNRELATED INDIVIDUALS IN THE FUTURE. INVESTMENT RELATED: 2 HOURS DEVOTED DURING TRADING HOURS: START DATE: 12/09/2020 ADDRESS: 119 GOUNDRY ST., N TONAWANDA NY 14120, 7) PENDLETON CREEK LLC POSITION: MEMBER NATURE: ONE OF FIVE MEMBERS PURCHASING A GOLF COURSE AND RESTAUANT INVESTMENT RELATED: No NUMBER OF HOURS: 3 SECURITIES TRADING HOURS: 3 START DATE: 04/01/2021 ADDRESS: 4391 TONAWANDA CREEK RD, N TONAWANDA NY 14120, DESCRIPTION: I WILL BE A 30% OWNER. I WILL BE RESPONSIBLE FOR ACCOUNTING AND TAX COMPLIANCE. I DO NOT EXPECT TO BE INVOLVED IN DAY TO DAY OPERATIONS 8) PENDELTON CREEK PUB LLC POSITION: MEMBER NATURE: RESTAURANT AT THE PENDLETON CREEK GOLF CLUB INVESTMENT RELATED: No NUMBER OF HOURS: 2 SECURITIES TRADING HOURS: 2 START DATE: 03/31/2021 ADDRESS: 4391 TONAWANDA CREEK RD, N TONAWANDA NY 14120, DESCRIPTION: ONE OF FIVE MEMBERS. LITTLE INVOLVEMENT OTHER THAN ACCOUNTING FUNCTIONS AS THE OUTSIDE CPA 9)WHITNEY COTTAGES INVESTORS LLC, LIMITED PARTNER, NOT INVESTMENT RELATED, PASSIVE INVESTOR, 0 HOURS DEVOTED PER MONTH, START DATE = 11/17/2020,

Exams

• S63 Uniform Securities Agent State Law Examination
  1990-10-19