RC
RC
Robert Carroll
39 Years of Experience
East Hartford, CT
1 DisclosureBroker
Robert Carroll is a registered investment advisor at Cetera Investment Advisers LLC, based in East Hartford, CT, with 39 years of industry experience. Robert operates on a fee-only basis, meaning they do not earn commissions from product sales. Their firm serves 584,487 clients with $160B in assets under management.
Compensation
Fee-Only (% of Portfolio)Fixed/Hourly
Firm Size
10345 advisors
IM Fee
Planning only
Assets Under Management
$163.8B
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Location
101 East River Drive, 4th Floor, East Hartford, CT, 06108
Get directionsHistory
Regulatory History (1)
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Customer Dispute
January 2007Denied
Employment History
Current Registrations
Cetera Investment Services LLCBroker
May 2024 - Present · 2 yrs 2 mos
Cetera Investment Advisers LLC
May 2024 - Present · 2 yrs 2 mos
Previous Registrations
Osaic Institutions, INC.
September 2016 - May 2024 · 7 yrs 8 mos
Osaic Institutions, INC.Broker
June 1995 - May 2024 · 28 yrs 11 mos
Marketing One Securities, INC.Broker
August 1994 - June 1995 · 10 mos
Gna Securities, INC.Broker
April 1994 - August 1994 · 4 mos
Banca Imi Securities CORP.Broker
February 1992 - April 1994 · 2 yrs 2 mos
Wall Street Investor ServicesBroker
March 1991 - February 1992 · 11 mos
Financial Services Marketing, INC.Broker
February 1990 - March 1991 · 1 yr 1 mo
Invest Financial CorporationBroker
March 1987 - February 1990 · 2 yrs 11 mos
Fahnestock & CO. INC.Broker
June 1986 - February 1987 · 8 mos
Invest Financial CorporationBroker
March 1986 - February 1990 · 3 yrs 11 mos
State Registrations6 states
CTMANHNJNYVT
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.