Robert Carroll is a registered investment advisor at Osaic Wealth, INC., based in N Tonawanda, NY, with 35 years of industry experience. Robert 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
119 Goundry Street, N Tonawanda, NY, 14120
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Regulatory History
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.
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Robert is involved in several business activities, including real estate investments, accounting services, and ownership in a golf course and restaurant. He dedicates full-time hours to his accounting firm, Robert Carroll CPA.
Employment History
Current Registrations
Osaic Wealth, INC.Broker
Osaic Wealth, INC.
Previous Registrations
American Portfolios Financial Services, INC.Broker
American Portfolios Advisors, INC
Avantax Advisory Services
Avantax Investment Services, INC.Broker
Nathan & Lewis Securities, INC.Broker
State Registrations1 state
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.