Thomas Francis Carroll

Current Employers

Employment History

• 11/1989 → Present
  Royal Alliance Associates, Inc.
  Baltimore, MD
• 01/2000 → Present
  Carroll, Frank & Plotkin, Llc
  Baltimore, MD

Other Businesses

1. INVESTMENT ADVISORY SERVICES, INDEPENDENT RIA, YES, CARROLL, FRANK & PLOTKIN, LLC, 1829 Reisterstown Road, Suite 365, Pikesville, MD 21208, MEMBER, 8/31/2001, 120 HRS/MO, 120 DURING TRADING HRS, PROVIDE INVESTMENT ADVISORY SERVICES AND FINANCIAL PLANNING TO INDIVIDUAL INVESTORS AND PROVIDE SERVICES OF SELECTING THIRD PARTY INVESTMENT ADVISORS TO INDIVIDUALS. 2. INSURANCE, YES, CARROLL, FRANK & PLOTKIN, LLC, 1829 Reisterstown Road, Suite 365, Pikesville, MD 21208, PARTNER, 1/1/2000, 10 HRS/MO, 10 DURING TRADING HRS, INSURANCE SALES: FIXED ANNUITIES, VARIABLE ANNUITIES, EQUITY INDEX ANNUITIES, VARIABLE LIFE OR VARIABLE UNIVERSAL LIFE, FIXED LIFE, HEALTH THROUGH JOHN HANCOCK, AIG, COLUMBUS LIFE, GREAT WEST LIFE AND VARIOUS OTHER COMPANIES. 3. ROYAL ALLIANCE ASSOCIATES, INC., YES, CORPORATE RIA, 1829 Reisterstown Road, Suite 365, Pikesville, MD 21208, RIA, 11/18/1989, 60 HRS/MO, ADVISORY SERVICES. 4. 10B5-1.COM WEBSITE, YES, SOLE PROPRIETORSHIP, 1829 Reisterstown Road, Suite 365, Pikesville, MD 21208, OWNER, 5/2004, 2 HRS/MO, 2 DURING TRADING HRS, CONSULTING SERVICES FOR 10B5-1 PLANS. 5. CARROLL, FRANK & PLOTKIN, LLC POSITION: Partner - NATURE: Limited Liability Company - INVESTMENT RELATED: Yes NUMBER OF HOURS: 10 SECURITIES TRADING HOURS: 10 START DATE: 01/01/2000 ADDRESS: 1829 Reisterstown Rd, Suite 365, Baltimore MD 21208, United States DESCRIPTION: Insurance Sales

Exams

• S66 Uniform Combined State Law Examination
  2006-03-31
• S63 Uniform Securities Agent State Law Examination
  2000-06-10

Other Names

• Thomas F Carroll