Patrick Michael Carroll

Current Employers

Centaurus Financial, Inc.

2300 East Katella Ave Suite 200, Anaheim, CA 92806 • United States

Current Registrations

Authority	Category	Status	Date
GA	RA	APPROVED	2022-02-03
NY	RA	APPROVED	2022-01-20
NC	RA	APPROVED	2022-01-07
AZ	RA	APPROVED	2019-11-26
NV	RA	APPROVED	2018-06-27
WI	RA	APPROVED	2018-05-18
SC	RA	APPROVED	2018-05-16
IN	RA	APPROVED	2012-07-18
UT	RA	APPROVED	2011-01-11
CO	RA	APPROVED	2011-01-06
IL	RA	APPROVED	2011-01-05
MI	RA	APPROVED	2010-06-24

GA RA
APPROVED

Since 2022-02-03
NY RA
APPROVED

Since 2022-01-20
NC RA
APPROVED

Since 2022-01-07
AZ RA
APPROVED

Since 2019-11-26
NV RA
APPROVED

Since 2018-06-27
WI RA
APPROVED

Since 2018-05-18
SC RA
APPROVED

Since 2018-05-16
IN RA
APPROVED

Since 2012-07-18
UT RA
APPROVED

Since 2011-01-11
CO RA
APPROVED

Since 2011-01-06
IL RA
APPROVED

Since 2011-01-05
MI RA
APPROVED

Since 2010-06-24

Branch Locations

7877 Mackinaw Trail, Cadillac, MI 49601 • United States

540 Fort Evans Road, Ne Suite #200, Leesburg, VA 20176 • United States

Disclosures

3 disclosure categories reported Yes on this SEC record. Read each Yes below, then review the firm’s Form ADV Item 11 guide for how disclosure questions work.

Regulatory action Yes
Criminal No
Bankruptcy No
Civil judicial No
Bond No
Judgment / lien Yes
Investigation No
Customer complaint Yes
Termination No

Employment History

Organization	City	State	From	To
Centaurus Financial, Inc.	Orange	CA	09/2006	Present
Patrick Carroll	Cadillac	MI	07/1996	Present

09/2006 → Present

Centaurus Financial, Inc.

Orange, CA
07/1996 → Present

Patrick Carroll

Cadillac, MI

Other Businesses

1. CARROLL RETIREMENT PLANS & INVESTMENTS, NON-INVESTMENT RELATED, 7877 MACKINAW TRAIL, CADILLAC, MI 49601, DBA FOR BRANDING AND MARKETING AND REVENUE RECOGNITION, MEMBER, SINCE 7/10/2015. 2. MUNSON HEALTH CARE CADILLAC COMMUNITY HEALTHCARE COUNCIL POSITION: Board Member NATURE: Hospital Board Member INVESTMENT RELATED: No NUMBER OF HOURS: 3 SECURITIES TRADING HOURS: 0 START DATE: 05/02/2022 ADDRESS: 400 Hobart Street, Cadillac MI 49601, United States DESCRIPTION: Board Member of the Munson Health Care Community Healthcare Council. Attend 3-4 meetings annually to discuss the status of our local hospital. 3. MUNSON HEALTHCARE FOUNDATION CADILLAC HOSPITAL BOARD POSITION: Board Member NATURE: Fund Raising INVESTMENT RELATED: No NUMBER OF HOURS: 5 SECURITIES TRADING HOURS: 0 START DATE: 10/01/2014 ADDRESS: 400 Hobart St, Cadillac MI 49601, United States DESCRIPTION: Board Member to raise funds for local hospital. 4. CLAM LAKE TOWNSHIP DDA POSITION: Board member NATURE: Helping to make decisions on how area can grow business. INVESTMENT RELATED: No NUMBER OF HOURS: 3 SECURITIES TRADING HOURS: 0 START DATE: 08/06/2014 ADDRESS: 8809 E. M-115, Cadillac MI 49601, United States DESCRIPTION: Help to make decisions on how our local area can attract new business and grow.

Exams

Code	Exam	Date
S65	Uniform Investment Adviser Law Examination	2008-07-22
S63	Uniform Securities Agent State Law Examination	1996-01-09

S65 Uniform Investment Adviser Law Examination

2008-07-22
S63 Uniform Securities Agent State Law Examination

1996-01-09