Paul Thomas Carroll

Current Employers

Employment History

• 01/2009 → Present
  Purshe Kaplan Sterling Investments
  Albany, NY
• 11/2008 → Present
  Pinnacle Family Advisors Llc
  Springfield, MO

Previous Registrations

• 2006-01-25 → 2008-11-24
  Raymond James Financial Services, Inc.
  Springfield, MO
• 2003-06-10 → 2005-12-02
  Wells Fargo Clearing Services, Llc
  New Philadelphia, OH

Other Businesses

1)PINNACLE FAMILY ADVISORS - RIA FIRM;620 W. Republic Road, Suite 104, Springfield, MO 65807; CHIEF INVESTMENT OFFICER/CHIEF COMPLIANCE OFFICER; START DATE 11/2008; 40 HOURS/WEEK; DURING TRADING HOURS; INVESTMENT POLICY AND MANAGE DISCRETIONARY ACCOUNTS. 2) PAUL CARROLL OFFICIATING, NOT INVESTMENT RELATED; 1634 E. SWALLOW, SPRINGFIELD, MO 65804; OFFICIATING SPORTS (BASKETBAL, FOOTBALL, SOFTBALL); CONSIDERED SELF-EMPLOYED; START DATE 12/1/09; 40 HOURS PER MONTH; NONE DURING TRADING HOURS; OFFICIATING GAMES. 3) PAUL CARROLL - DIRECT FIXED INSURANCE; INVESTMENT RELATED; 3010 E. BATTLEFIELD, STE. A; SPRINGFIELD, MO 65804; FIXED INSURANCE SALES; PRODUCER; START DATE: 12/9/2011; APPROX 4 HRS/MO; SALE OF TERM, WHOLE LIFE AND LTC INSURANCE 4) PINNACLE TACTICAL ALLOCATION FUND. INVESTMENT RELATED. 4200 S. QUAIL CREEK AVE, STE A, SPRINGFIELD, MO 65810. '40 ACT FUND. PORTFOLIO MANAGER. 06/2013. 40 HRS/MO. PINNACLE FAMILY ADVISORS, LLC IS THE INVESTMENT ADVISOR TO THE FUND. AS PORTFOLIO MANAGER,RESPONSIBLE FOR EXECUTING THE INVESTMENT STRATEGY OF THE FUND. 5) PKS FINANCIAL SERVICES, INVESTEMENT RELATED; 80 STATE ST, ALBANY, NY 12207; 1/23/2009-PRESENT, FIXED INSURANCE SALES

Exams

• S65 Uniform Investment Adviser Law Examination
  2005-12-28
• S63 Uniform Securities Agent State Law Examination
  2000-04-19

Other Names

• Paul T Carroll