THE CARROLL FINANCIAL GROUP, INC.
Legal name: THE ALPINE FINANCIAL GROUP
CRD #119451 SEC #801-63897 CINCINNATI, OH 513-861-1889
SEC Registered
Total AUM
$77.5M
Discretionary
$57M
Employees
1
Clients
101
Accounts
369
Firm Details
- Organization Type
- Corporation
- State of Formation
- Ohio
- Fiscal Year End
- DECEMBER
- Registration Date
- --
- Latest Filing
- May 4, 2012
- Branch Offices
- --
Advisory Services
No services reported
Compensation Methods
No compensation methods reported
Ownership
Direct Owners & Executive Officers (Schedule A)
| Name | Type | Title / Status | Ownership | Control |
|---|---|---|---|---|
| CARROLL, ROBERT, PATRICK | I | VICE PRESIDENT | NA | |
| CARROLL, ROBERT, PATRICK | I | VICE PRESIDENT | NA | |
| CARROLL, ROBERT, PATRICK | I | VICE PRESIDENT | NA | |
| CARROLL, ROBERT, PATRICK | I | VICE PRESIDENT | NA | |
| CARROLL, ROBERT, PATRICK | I | VICE PRESIDENT | NA | |
| CARROLL, ROBERT, PATRICK | I | VICE PRESIDENT | NA | |
| CARROLL, ROBERT, PATRICK | I | VICE PRESIDENT | NA | |
| CARROLL, THOMAS, PATRICK | I | PRESIDENT & CHIEF COMPLIANCE OFFICER | E | Control |
| CARROLL, THOMAS, PATRICK | I | PRESIDENT/CCO | E | Control |
| CARROLL, THOMAS, PATRICK | I | PRESIDENT & CHIEF COMPLIANCE OFFICER | E | Control |
| CARROLL, THOMAS, PATRICK | I | PRESIDENT & CHIEF COMPLIANCE OFFICER | E | Control |
| CARROLL, THOMAS, PATRICK | I | PRESIDENT & CHIEF COMPLIANCE OFFICER | E | Control |
| CARROLL, THOMAS, PATRICK | I | PRESIDENT & CHIEF COMPLIANCE OFFICER | E | Control |
| CARROLL, THOMAS, PATRICK | I | PRESIDENT/CCO | E | Control |
| CARROLL, THOMAS, PATRICK | I | PRESIDENT & CHIEF COMPLIANCE OFFICER | E | Control |
| CARROLL, THOMAS, PATRICK | I | PRESIDENT & CHIEF COMPLIANCE OFFICER | E | Control |
| CARROLL, THOMAS, PATRICK | I | PRESIDENT & CHIEF COMPLIANCE OFFICER | E | Control |
Registrations
Federal
IA
May 4, 2012 REGISTERED
Notice Filings (3)
IN KY OH
Address
2142 ALPINE PLACECINCINNATI, OH 45206
United States
Phone: 513-861-1889