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Brian Patrick Carroll

Wells Fargo Clearing Services, LLC

Denver, CO

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Current Employers
Wells Fargo Clearing Services, Llc

One North Jefferson Avenue Mail Code: H0004-05E, St. Louis, MO 63103-2205 • United States

Current Registrations

AuthorityCategoryStatusDate
CO RA APPROVED 2019-08-16
TX RA APPROVED 2019-08-16
  • CO RA
    APPROVED
    Since 2019-08-16
  • TX RA
    APPROVED
    Since 2019-08-16

Branch Locations

3200 Cherry Creek S Dr Ste 100, Denver, CO 80209 • 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
First Republic Securities Company, Llc Los Angeles CA 10/2017 07/2019
First Republic Investment Management, Inc. Los Angeles CA 06/2017 07/2019
Black Gold Golf Club Yorba Linda CA 05/2016 06/2017
Studying, University Of Colorado Colorado Springs Colorado Springs CO 08/2012 12/2016
Wells Fargo Clearing Services, Llc Cherry Creek CO 07/2019 Present
  • 10/2017 → 07/2019
    First Republic Securities Company, Llc
    Los Angeles, CA
  • 06/2017 → 07/2019
    First Republic Investment Management, Inc.
    Los Angeles, CA
  • 05/2016 → 06/2017
    Black Gold Golf Club
    Yorba Linda, CA
  • 08/2012 → 12/2016
    Studying, University Of Colorado Colorado Springs
    Colorado Springs, CO
  • 07/2019 → Present
    Wells Fargo Clearing Services, Llc
    Cherry Creek, CO
Previous Registrations
  • 2018-02-20 → 2019-06-20
    J.P. Morgan Private Wealth Advisors Llc
    Los Angeles, CA
Exams
CodeExamDate
S66 Uniform Combined State Law Examination 2018-02-20
  • S66 Uniform Combined State Law Examination
    2018-02-20
Other Names
  • Brian Patrick Carroll
  • Brian Carroll

View on SEC IAPD

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Other Offices

EXCELLERE PARTNERS · DENVER, CO
ALPINE QUANTITATIVE MANAGEMENT, LLC · DENVER, CO
MORGAN STANLEY · Denver, CO
CETERA INVESTMENT ADVISERS LLC · DENVER, CO
DREAM U.S. MANAGER LLC · DENVER, CO
KSL CAPITAL PARTNERS · DENVER, CO
CIBC PRIVATE WEALTH ADVISORS, INC. · Denver, CO
CIBC PRIVATE WEALTH ADVISORS, INC. · Denver, CO

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