Anna Carroll is a registered investment advisor, based in Birmingham, AL, with 11 years of industry experience.
Location
1900 5th Ave N, Birmingham, AL, 35203
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
Anna is a compliance manager for Regions Investment Solutions. She also runs social media marketing for Taco Casa.
Employment History
Current Registrations
Cetera Investment Services LLC
June 2020 - Present · 5 yrs 11 mos
Cetera Investment Advisers LLC
June 2020 - Present · 5 yrs 11 mos
Cetera Investment Services LLCBroker
June 2020 - Present · 5 yrs 11 mos
Previous Registrations
Investment Advisors
January 2020 - April 2020 · 3 mos
Proequities, INC.Broker
April 2016 - April 2020 · 4 yrs
Metlife Securities INC.Broker
August 2014 - January 2016 · 1 yr 5 mos
State Registrations1 state
AL
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.