DFX Intelligence
RIA Intelligence
The names on this page are hidden. Create a free account to reveal 5 records a month, or get RIA and Wealth Intelligence at $249 a month for every name. Every figure, date and source on this page is public either way.
Registered advisor
C•••••• B• C••••••
Certified Financial Planner
Feed of 09/14/2026
Also filed as Charles Brian Jr Carroll
At current firm
2 y
since May 1, 2024
In the industry
34 y
since Jan 14, 1992 (earliest exam, job or registration)
Prior registered firms
5
IAPD previous registrations
State registrations
2
current, as an IAR
Firms today
1
current registrations
Exams
S65, S63, S66
IA exams only
Book size
not public
not estimated here
Signals
0
dated events on this person
Registration history
IAPD current and previous registrations
- E••••• J•••• national BD currentsince May 1, 2024 · North Haven, Ct
- T• A••••••••• I••••••••• M••••••••• L•• formerApr 26, 2010 to Dec 8, 2020 · Stamford, Ct
- T• A••••••••• I••• formerApr 26, 2010 to Dec 8, 2020 · Omaha, Ne
- T• W••••• M••••••••• S••••••• I••• unclassifiedDec 4, 2009 to Mar 18, 2010 · Plantsville, Ct
- C••••• I••••••••• S••••••• L•• formerMay 2, 2006 to Nov 18, 2009 · White Plains, Ny
- E•••• N••••••• S••••••••• I••• formerAug 6, 2004 to May 4, 2006 · Hamden, Ct
Moves
a registration end followed by a registration begin elsewhere
- T• A••••••••• I••••••••• M••••••••• L•• to E••••• J••••left Dec 8, 2020, registered May 1, 2024 (1240 days) · RIA to affiliated broker-dealer or bank
- T• A••••••••• I••• to T• A••••••••• I••••••••• M••••••••• L••left Dec 8, 2020, registered Apr 26, 2010 (-3879 days) · corporate re-registration, not a move
- T• W••••• M••••••••• S••••••• I••• to T• A••••••••• I•••left Mar 18, 2010, registered Apr 26, 2010 (39 days) · Other
- C••••• I••••••••• S••••••• L•• to T• W••••• M••••••••• S••••••• I•••left Nov 18, 2009, registered Dec 4, 2009 (16 days) · corporate re-registration, not a move
- E•••• N••••••• S••••••••• I••• to C••••• I••••••••• S••••••• L••left May 4, 2006, registered May 2, 2006 (-2 days) · Other
Signals
No dated event on this person.
Transition signals
Mobility scoring is not published yet. The observable conditions this page will draw on once the historical validation is done: tenure, the firm’s own departures and ownership changes, new state registrations, a new adviser entity with this person on Schedule A, and colleagues’ moves. Until precision and lead time are measured on known moves, no label is printed. Read the methodology.
Provenance
- Source
- IAPD individual compilation feedreportedadviserinfo.sec.gov
- Firm class
- National broker-dealer RIAderived
- Years in industry
- 34derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address