Thomas Carroll
Thomas Carroll is a registered investment advisor at Osaic Wealth, INC., based in Pikesville, MD, with 42 years of industry experience. Thomas operates on a fee-only basis, meaning they do not earn commissions from product sales. Their practice areas include Business Owners, Education Planning, Estate Planning, Investment Management, and 1 more. Their firm serves 574,829 clients with $200B in assets under management.
Compensation
Firm Size
Number of Clients
Average Client Portfolio
Assets Under Management
Fee Structure
Osaic Wealth offers investment management through several platforms, including Advisor Managed Portfolios, Unified Managed Accounts, and Signator Managed Account Platform. Fees are negotiable and based on a percentage of the assets in your account. The fees cover advisory services, custodial services, and in some cases, transaction costs. Mutual funds and ETFs within these accounts have their own internal fees. Some programs have wrap accounts where all costs are bundled into one fee.
Location
1829 Reisterstown Road, Suite 365, Pikesville, MD, 21208
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Regulatory History (1)
Regulatory
March 2006Other Business ActivitiesSells Insurance
Thomas provides investment advisory services and financial planning, dedicating about three-quarters of his time to Carroll, Frank & Plotkin, LLC and Royal Alliance Associates, Inc. He also sells various insurance products and provides consulting services for 10b5-1 plans, spending minimal time on promoting the sale of internet domain names.
Employment History
Current Registrations
Osaic Wealth, INC.
Carroll Frank & Plotkin LLC
Osaic Wealth, INC.Broker
Previous Registrations
Integrated Resources Equity CorporationBroker
Fsc Securities CorporationBroker
State Registrations10 states
You can work with an advisor not registered in your state. Most advisors can legally serve a small number of clients across state lines without registering.