For a FREE, NO OBLIGATION SAMPLE "10b5-1 Plan" click the button below to get login and password,
Or, CALL NOW 1-410-375-0053.
All Information Provided Is Held in Strictest Confidence. E-Mail addresses will not be used, stored, sold, or given to anyone without your consent. Privacy is important to Carroll, Frank & Plotkin, LLC.
Thom F. Carroll, CLU is the founder and Senior Partner of
Carroll, Frank & Plotkin, LLC, one of the oldest independent,
fee based Wealth Management firms in the country.
Thom has been advising CEO's and Seniorl Executives
with their Financial Planning and Asset Management
Thom F. Carroll, CLU is a Registered Representative of and offers securities products & services through Royal Alliance Associates, Inc. Member FINRA/SIPC, a registered broker-dealer
Thom F. Carroll, CLU is also separately registered as an investment advisor representative under Carroll, Frank & Plotkin, LLC, a registered investment advisor, offering advisory services.
IMPORTANT CONSUMER INFORMATION:
A broker-dealer "BD", investment advisor "IA", a BD agent, or IA Representative may only transact business in a state if first registered in that state, or is excluded or exempt from registration in that state as a broker-dealer, investment advisor, BD agent or IA Representative, as appropriate. Follow-up individualized responses to persons in a state by such a firm or individual that involve either effecting or attempting to effect transactions in securities, or the rendering of personalized investment advice for compensation, will not be made without first complying with appropriate registration requirements, or an applicable exemption or exclusion.
For information concerning the licensing status or disciplinary history of a broker-dealer, investment advisor, BD agent, or IA rep, a consumer should contact his or her state securities law administrator.
E-mail:ThomCarroll@CFPFinancialAdvisors.com Web Site:www.CFPFinancialAdvisors.com FAX (410) 323-PLAN CALL 410-375-0053 “Has been serving clients with distinction for three decades"
Securities and advisory services offered through Royal Alliance Associates, Inc.,(RAA), Member FINRA/SIPC Additional advisory services offered through Carroll, Frank & Plotkin, LLC, a registered investment advisor. RAA is separately owned
and other entities and/or marketing names, products or services referenced here are independentmof RAA.