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.