Robert Carroll (CRD# 1470313) is an Investment Advisor Representative working at Osaic Institutions, Inc. in Barre, MA and has over 37 years of experience in the finance industry.
CRD# 4385290
Lpl Financial LLC
CRD# 6423673
Ubs Financial Services Inc.
CRD# 1748546
Ubs Financial Services Inc.
| Company Name | Location | Dates | Years |
|---|---|---|---|
| Infinex Investments, Inc. | Hartford, CT | Jun 1995 - Current | 28 |
| Society For Savings | Westport, CT | Mar 1987 - Current | 37 |
| Exam Code | Name | Passed Date |
|---|---|---|
| S63 | Uniform Securities State Law Examination | Jun 1986 |
| S66 | NASAA Uniform Combined State Law Examination | Sep 2016 |
Financial Advisors are obligated to disclose any events that may influence their professional conduct or ability to advise their clients. Disclosure events are certain criminal matters, regulatory actions, civil judicial proceedings, customer complaints, arbitrations, or civil litigations, employment terminations, financial matters, and other matters required to be disclosed in which the advisor has been involved.
Get Details on the FINRA Advisor Check site- CT
- NY
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Total Assets Under Management3,627MILLIONS
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Total Number of Accounts8,478ACCOUNTS
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Average Account Value$427,771
- A percentage of assets under your management
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