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RICKY LAWSON CARROLL
RICK CARROLL, RICKY L CARROLL, Ricky Lawson Carroll
CRD#: 5197265
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Investment Adviser
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Broker
PNC INVESTMENTSCRD#: 129052 3320 N Stockton Hill Rd
Kingman, AZ 86409
Registration History
2010201220142016201820202022202420262 FIRMS2013 - 2014 (<1 year)2 FIRMS2014 - 2019 (5 years)5 FIRMS2019 - 2019 (<1 year)2 FIRMS2021 - 2022 (1 year)2 FIRMS2022 - 2023 (<1 year)2 FIRMS2023 - Present (1 year)BNATIONAL PLANNING CORPORATION (CRD# 29604)2009 - 2013 (4 years)IANATIONAL PLANNING CORPORATION ... (CRD# 29604)2010 - 2013 (3 years)
License(s)

State Registrations

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Arizona 8/17/2023

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Montana 12/22/2023

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Arizona 8/23/2023

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Nevada 10/3/2024

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California 8/7/2024

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Rhode Island 1/23/2024

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Minnesota 2/28/2024

SRO Registrations

Not all jurisdictions require IAR registration or may have an exemption from registration.
Current Registration(s)
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PNC INVESTMENTS (CRD#:129052)
3320 N Stockton Hill Rd, Kingman, AZ 86409
1992 McCulloch Blvd N, Lot 1, Lake Havasu City, AZ 86403
Registered with this firm since 8/23/2023

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PNC INVESTMENTS (CRD#:129052)
3320 N Stockton Hill Rd, Kingman, AZ 86409
1992 McCulloch Blvd N, Lot 1, Lake Havasu City, AZ 86403
Registered with this firm since 8/17/2023

Previous Registration(s)
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11/07/2022 - 08/23/2023 PARK AVENUE SECURITIES LLC (CRD#:46173) PHOENIX, AZ
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11/07/2022 - 08/23/2023 PARK AVENUE SECURITIES LLC (CRD#:46173) PHOENIX, AZ
IA
05/17/2021 - 07/01/2022 COLORADO FINANCIAL SERVICE CORPORATION (CRD#:104343) Lake Havasu City, AZ
B
05/24/2021 - 07/01/2022 COLORADO FINANCIAL SERVICE CORPORATION (CRD#:104343) CENTENNIAL, CO
IA
05/14/2019 - 12/31/2019 GWN SECURITIES INC. (CRD#:128929) FT. LAUDERDALE, FL
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05/13/2019 - 12/31/2019 GWN SECURITIES INC. (CRD#:128929) PALM BEACH GARDENS, FL
IA
04/09/2019 - 04/18/2019 CAPITAL ANALYSTS (CRD#:162200) Boca Raton, FL
IA
04/04/2019 - 04/18/2019 LINCOLN INVESTMENT (CRD#:519) Boca Raton, FL
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04/03/2019 - 04/18/2019 LINCOLN INVESTMENT (CRD#:519) Boca Raton, FL
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04/01/2014 - 04/11/2019 PARK AVENUE SECURITIES LLC (CRD#:46173) NEWPORT BEACH, CA
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03/06/2014 - 04/11/2019 PARK AVENUE SECURITIES LLC (CRD#:46173) NEWPORT BEACH, CA
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09/19/2013 - 03/04/2014 NORTHWESTERN MUTUAL INVESTMENT SERVICES,LLC (CRD#:2881) IRVINE, CA
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09/17/2013 - 03/04/2014 NORTHWESTERN MUTUAL INVESTMENT SERVICES, LLC (CRD#:2881) IRVINE, CA
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03/22/2010 - 09/05/2013 NATIONAL PLANNING CORPORATION ("NPC OF AMERICA" IN FL & NY) (CRD#:29604) IRVINE, CA
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03/30/2009 - 09/05/2013 NATIONAL PLANNING CORPORATION (CRD#:29604) IRVINE, CA
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Broker
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Investment Adviser
Disclosures
Disclosures can be customer complaints or arbitrations, regulatory actions, employment terminations, bankruptcy filings and certain civil or criminal proceedings that they were a part of.