Ricky Lawson Carroll

300 Fifth Avenue 26Th Floor, Pittsburgh, PA 15222-2722 • United States

Current Registrations

Authority	Category	Status	Date
AZ	RA	APPROVED	2023-08-23

Branch Locations

1992 Mcculloch Blvd N, Lot 1, Lake Havasu City, AZ 86403 • United States

2840 Highway 95, Bullhead City, AZ 86442 • United States

No disclosure categories reported as “Yes” on this SEC record.

Organization	City	State	From	To
Guardian Life Ins	Newport Beach	CA	01/2014	04/2019
Park Avenue Securities	Newport Beach	CA	03/2014	04/2019
Lincoln Investment Planning, Llc	Fort Washington	PA	04/2019	04/2019
Gwn Securities, Inc.	Palm Beach Gardens	FL	05/2019	12/2019
Atlantic Christian Academy	West Palm Beach	FL	08/2019	08/2020
Colorado Financial Service Corporation	Centennial	CO	05/2021	07/2022
Guardian Life Insurance Company	Claremont	CA	11/2022	08/2023
Park Avenue Securities	Claremont	CA	11/2022	08/2023
Unemployed	Lake Havasu City	AZ	07/2022	10/2022
Unemployed	Lake Havasu City	AZ	08/2020	01/2021
Mohave County Pools And Spas	Lake Havasu City	AZ	01/2021	05/2021
Pnc Investments Llc	Lake Havasu	AZ	08/2023	Present

2022-11-07 → 2023-08-23

Park Avenue Securities Llc

Phoenix, AZ
2021-05-17 → 2022-07-01

Colorado Financial Service Corporation

Centennial, CO

Lake Havasu City, AZ
2019-05-14 → 2019-12-31

Gwn Securities Inc.

Ft. Lauderdale, FL

Palm Beach Gardens, FL

Palm Beach Gardens, FL
2019-04-04 → 2019-04-18

Lincoln Investment

Boca Raton, FL

Fort Washington, PA
2019-04-09 → 2019-04-18

Capital Analysts

Boca Raton, FL
2014-04-01 → 2019-04-11

Park Avenue Securities Llc

Newport Beach, CA

Ventura, CA

Irvine, CA
2013-09-19 → 2014-03-04

Northwestern Mutual Investment Services, Llc

Irvine, CA
2010-03-22 → 2013-09-05

National Planning Corporation

Irvine, CA

Code	Exam	Date
S65	Uniform Investment Adviser Law Examination	2010-02-27
S63	Uniform Securities Agent State Law Examination	2009-04-07

Other Firms