David Carroll

Employer firm

Cwm, LLC CRD 155344

$50.6B regulatory AUM 248 advisory clients

Reported services (Item 5G)

• Financial planning
• Portfolio management (individuals)
• Selection of other advisers
• SUB-ADVISORY SERVICES FOR OTHER INVESTMENT ADVISORY FIRMS

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

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

Current Employers

Employment History

• 12/2011 → 07/2020
  Lpl Financial Llc
  Omaha, NE
• 12/2011 → 07/2020
  Mutual Of Omaha Bank
  Omaha, NE
• 07/2020 → 02/2024
  Elk River Wealth Management Llc
  Omaha, NE
• 07/2020 → 02/2024
  Purshe Kaplan Sterling Investments Inc.
  Albany, NY
• 02/2024 → Present
  Cwm, Llc
  Omaha, NE
• 02/2024 → Present
  Carson Wealth
  Elkhorn, NE

Previous Registrations

• 2020-08-19 → 2024-02-16
  Elk River Wealth Management Llc
  Omaha, NE
  Denver, CO
  Omaha, NE
  Omaha, NE
• 2011-12-23 → 2020-08-18
  Lpl Financial Llc
  Omaha, NE
  Omaha, NE
• 2010-06-01 → 2011-11-30
  First National Capital Markets
  Omaha, NE
• 2006-05-19 → 2010-06-02
  Cetera Investment Services Llc
  Council Bluffs, IA
  Omaha, NE
  Omaha, NE
  Omaha, NE
  Omaha, NE
  Omaha, NE

Other Businesses

1. PKSF. Investment Related. 80 State Street, Albany, NY 12207. Fixed/Traditional Insurance Agent. Start 7/2020. 10hrs/mo, all during trading hours. Sales of Fixed/Traditional insurance products.

Exams

• S66 Uniform Combined State Law Examination
  2006-05-04
• S63 Uniform Securities Agent State Law Examination
  1995-01-06

Other Names

• Dave Brian Carroll
• David Brian Carroll