Carroll Swenson is a registered investment advisor, based in Richmond, VA, with 40 years of industry experience.
Location
919 E Main St, Fl 8, Richmond, VA, 23219
Get directionsHistory
Regulatory History
Clean regulatory record
No disclosures, customer disputes, or regulatory actions on file.
Disclosures include customer complaints, regulatory actions, and other events that advisors must report to the SEC. A clean record means none have been reported.
Learn about disclosures →Other Business Activities
Carroll is an independent contractor selling items on eBay and Amazon since 2020. This activity, which is not investment-related, takes minimal time.
Employment History
Current Registrations
Truist Advisory Services, INC.
August 2022 - Present · 4 yrs 1 mo
Truist Investment Services, INC.Broker
August 2022 - Present · 4 yrs 1 mo
Truist Investment Services, INC.
August 2022 - Present · 4 yrs 1 mo
Previous Registrations
Wells Fargo Clearing Services, LLCBroker
October 2000 - May 2022 · 21 yrs 7 mos
First Union Securities, INC.Broker
July 2000 - September 2000 · 2 mos
Wells Fargo Clearing Services, LLC
May 2000 - May 2022 · 22 yrs
First Union Brokerage Services, INC.Broker
February 1998 - October 2000 · 2 yrs 8 mos
Signet Financial Services,inc.Broker
March 1990 - February 1998 · 7 yrs 11 mos
Invest Financial CorporationBroker
June 1989 - January 1990 · 7 mos
Merrill Lynch, Pierce, Fenner & Smith IncorporatedBroker
September 1985 - June 1989 · 3 yrs 9 mos
State Registrations1 state
VA
AdvisorBrokerBoth
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.
Exams
No exam information available for this advisor.