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Christopher Emil Carroll

Charles Schwab & Co., Inc.

Fairfield, CT

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Current Employers
Charles Schwab & Co., Inc.

425 Market Street 17Th Floor, San Francisco, CA 94105 • United States

Current Registrations

AuthorityCategoryStatusDate
CT RA APPROVED 2022-01-26
  • CT RA
    APPROVED
    Since 2022-01-26

Branch Locations

1248 Post Road Suite 100, Fairfield, CT 06824-6008 • 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
Scottrade, Inc. Fairfield CT 09/2005 02/2018
Td Ameritrade, Inc. Fairfield CT 02/2018 06/2024
Td Ameritrade Investment Management, Llc Fairfield CT 02/2018 06/2024
Charles Schwab & Co., Inc. Fairfield CT 01/2022 Present
Charles Schwab Bank, Ssb Fairfield CT 07/2022 Present
  • 09/2005 → 02/2018
    Scottrade, Inc.
    Fairfield, CT
  • 02/2018 → 06/2024
    Td Ameritrade, Inc.
    Fairfield, CT
  • 02/2018 → 06/2024
    Td Ameritrade Investment Management, Llc
    Fairfield, CT
  • 01/2022 → Present
    Charles Schwab & Co., Inc.
    Fairfield, CT
  • 07/2022 → Present
    Charles Schwab Bank, Ssb
    Fairfield, CT
Previous Registrations
  • 2018-02-26 → 2023-09-07
    Td Ameritrade Investment Management, Llc
    Omaha, NE
    Fairfield, CT
    Fairfield, CT
  • 2018-02-27 → 2022-10-14
    Td Ameritrade, Inc.
    Fairfield, CT
    Omaha, NE
  • 2016-12-23 → 2018-02-26
    Scottrade Investment Management
    Saint Louis, MO
  • 2003-07-30 → 2005-09-15
    Td Ameritrade, Inc.
    Stamford, CT
Exams
CodeExamDate
S66 Uniform Combined State Law Examination 2003-07-11
S63 Uniform Securities Agent State Law Examination 1993-08-27
  • S66 Uniform Combined State Law Examination
    2003-07-11
  • S63 Uniform Securities Agent State Law Examination
    1993-08-27
Other Names
  • Chris Carroll
  • Christopher Carroll

View on SEC IAPD

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HERBERT J. SIMS CAPITAL MANAGEMENT, INC. · FAIRFIELD, CT
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RAYMOND JAMES FINANCIAL SERVICES ADVISORS, INC · Fairfield, CT
MONECO ADVISORS · FAIRFIELD, CT
JANNEY MONTGOMERY SCOTT LLC · Fairfield, CT
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