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RIA / WealthAdvisorCertified Financial Plannerdual registered (broker-dealer)10 years in industry

Thomas J Carroll

Advisor at HIGHPOINT PLANNING PARTNERS

DOWNERS GROVE, IL | Oak Park, IL

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Search this name across graphsid dfx:ria:526941c0-71fc-7ec0-40cc-56a2c1a0758e

Data as of Sep 15, 2026 (this record's last observation) from federal regulator filings. Page built Sep 19, 2026, 6:18 PM UTC and rebuilt at most every 15 minutes.

Relationships: 4
Dated events: 2
On other graphs: 0
Observed: Aug 30, 2017 to Sep 15, 2026

Across DFX

This entity has not been resolved onto another DFX graph by a shared identifier. A name match elsewhere would be a candidate, never an identity, and none is recorded.

Facts

fact = as filed or announced; derived = computed by DFX; estimate = a band, never a point

Current firm: HIGHPOINT PLANNING PARTNERS
Current firm class: independent wealth managerderived
Book size: not publicno per-advisor AUM is published by the SEC, FINRA or IAPD, and DFX estimates none
Industry start: Jun 1, 2016earliest registration or exam on IAPD
Years in industry: 10derivedfrom the industry start date
Years at current firm: 2derivedfrom the current registration's begin date
Prior firms: 3
Current registrations: 1
Registered states: 1
Designations: Certified Financial Planner
Exams: S66
First exam: Jul 1, 2017
First registration: Aug 30, 2017
Dual registered: yes, broker-dealer
Other names: Thomas James Carroll|Thomas J Carroll|Thomas Carroll|Tom Carroll
IAPD individual key: 3178328

Registration history

registration spans on IAPD; the basis says whether the span is a current registration or a prior employment record

Firm	Class	Began	Ended	Current	Branch	Basis
HIGHPOINT PLANNING PARTNERS	Independent wealth	Jun 3, 2024	n/a	yes	DOWNERS GROVE, IL\|Oak Park, IL	Current employment
PARKVIEW ASSET MANAGEMENT, INC.	Independent wealth	Dec 13, 2022	Jun 11, 2024	no	OAKBROOK TERRACE, IL	Previous registration
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED	Wirehouse	Nov 20, 2020	Nov 22, 2022	no	OAK BROOK, IL	Previous registration
EDWARD JONES	National bd RIA	Aug 30, 2017	Sep 30, 2020	no	Downers Grove, IL\|ST LOUIS, MO\|WOODRIDGE, IL\|WHEATON, IL	Previous registration

Moves

a move is two registration dates; a bulk corporate re-registration is typed BULK_TRANSFER and is not a move

From	To	Left	Joined	Gap, days	Kind	Move type
PARKVIEW ASSET MANAGEMENT, INC.	HIGHPOINT PLANNING PARTNERS	Jun 11, 2024	Jun 3, 2024	-8	Firm change	RIA to RIA
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED	PARKVIEW ASSET MANAGEMENT, INC.	Nov 22, 2022	Dec 13, 2022	21	Firm change	Wirehouse to RIA
EDWARD JONES	MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED	Sep 30, 2020	Nov 20, 2020	51	Firm change	Ibd to wirehouse

Relationships

Registered with (4)

→ HIGHPOINT PLANNING PARTNERSRegistered adviserregistration: current employment
Jun 3, 2024 to presentfactForm ADV
→ PARKVIEW ASSET MANAGEMENT, INC.Registered adviserregistration: previous registration
Dec 13, 2022 to Jun 11, 2024factForm ADV
→ MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATEDRegistered adviserregistration: previous registration
Nov 20, 2020 to Nov 22, 2022factForm ADV
→ EDWARD JONESRegistered adviserregistration: previous registration
Aug 30, 2017 to Sep 30, 2020factForm ADV

Dated events

Occurred
Jun 11, 2024
Advisor changed firm
Thomas J Carroll left Parkview Asset Management, Inc. for Highpoint Planning Partners (registered 2024-06-03)
Form ADVobserved 4 days ago
Occurred
Nov 22, 2022
Advisor changed firm
Thomas J Carroll left Merrill Lynch, Pierce, Fenner & Smith Incorporated for Parkview Asset Management, Inc. (registered 2022-12-13)
Form ADVobserved 4 days ago