Thomas Patrick Carroll

Investment Adviser Representative at VERUS CAPITAL PARTNERS, LLC

Ventura, CACRD #2765011Dual-registered

Disclosure(s) on record — see official records below

Sourced from SEC IAPD & FINRA BrokerCheck

Years of Experience

30 yrs

States Registered

1 states

Exams Passed

Registrations & licenses

Registration type

Dual-registered

Registered in 1 states

California

Examinations passed

Series 65

Uniform Investment Adviser Law Examination

Passed 3/24/1998

Series 63

Uniform Securities Agent State Law Examination

Passed 7/22/1996

Series 24

General Securities Principal Examination

Passed 9/22/1998

Series 99TO

Operations Professional Examination

Passed 1/2/2023

SIE

Securities Industry Essentials Examination

Passed 10/1/2018

Series 7

General Securities Representative Examination

Passed 12/16/1996

Series 6

Investment Company Products/Variable Contracts Representative Examination

Passed 7/11/1996

Approximate fees

Estimated from the firm's Form ADV — individual terms may differ. Not a quote.

Primary fee model

Assets Under Management (AUM)

Account minimum: $250,000

Firm-stated minimum; may be waived at the firm's discretion.

Source

VERUS CAPITAL Partners, LLC Form ADV Part 2A (Item 5), most recent annual amendment.

Employment history

Registration history as reported to FINRA, most recent first.

WELLS FARGO SECURITIES INC.

7/12/1996 – 5/2/2001SAN FRANCISCO, CA

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

6/27/2005 – 11/3/2009OXNARD, CA

WELLS FARGO INVESTMENTS, LLC

5/2/2001 – 7/5/2005SAN FRANCISCO, CA

SECURITIES AMERICA, INC.

12/1/2014 – 2/16/2021VENTURA, CA

LPL FINANCIAL LLC

10/30/2009 – 12/17/2014VENTURA, CA

Official records & sources

FINRA BrokerCheck record

Official broker registration & regulatory record

SEC IAPD record

SEC investment adviser registration record

Data as of May 30, 2026 · Source: SEC IAPD & FINRA BrokerCheck

About this profile

This profile was compiled and published by AdvisorFinder as editorial content using publicly available information from the SEC's IAPD database and FINRA BrokerCheck. Thomas Patrick Carroll has not reviewed, approved, or endorsed this profile and is not responsible for its accuracy. Regulatory records change over time — always verify the current record directly on BrokerCheck or SEC.gov before making any decision. AdvisorFinder may be compensated for referrals generated through this page.