Broker Check
Thom F. Carroll, Jr., CLU

Thom F. Carroll, Jr., CLU

Senior Partner/Founder

Thom F. Carroll, Jr., CLU, graduated from the University of Maryland with his B.A. in political science in 1972.   His financial career began in 1975 with one of Baltimore`s most prestigious financial services firms.  Several years later, in 1979, Mr. Carroll founded his own independent financial services firm. Thom has been an asset manager for Carroll, Frank & Plotkin, LLC, a Registered Investment Advisory firm since 1984.  Separately, he is a registered representative of Royal Alliance Associates, Inc. He holds a FINRA general security representative registration (series 7), general securities principal registration (series 24), uniform securities agent registration (series 63), and registered agent and investment advisors (series 66).  Additionally, he has held a life, health, and annuity licenses since 1975.

Thom has served as a board member of the local chapter of the International Association of Financial Planners, and Mr. Carroll is also a former committee member of Baltimore`s highly respected Greater Baltimore Committee.  He has completed his Charter Life Underwriters degree from the American College.

Mr. Carroll, a consumer advocate, has been a guest speaker on several media programs and has written several articles on financial planning and insurance planning to help the consumer make intelligent, informed decisions.

Mr. Carroll specializes in Comprehensive Financial Planning, concentrating in the following areas:  Investment Management, Retirement Planning, Estate Planning, and Insurance Planning.