Carroll Frank & Plotkin LLC

Thomas Carroll Jr. is a financial advisor with OSAIC, holding Series 63 and Series 66 credentials and 42 years of industry experience. He has been a partner at Carroll, Frank & Plotkin, LLC since 2000 and has also worked with Royal Alliance Associates, Inc. since 1989. Outside of his advisory roles, he owns a consulting business focused on 10B5-1 plans. OSAIC is an SEC-registered investment adviser and FINRA member broker-dealer that serves a diverse client base including individual investors, pension plans, corporations, and charitable organizations. The firm offers a variety of advisory programs and employs a structured investment process combining risk assessments, asset allocation tools, and portfolio optimization.

Katherine Strom is a financial advisor at OSAIC with 13 years of industry experience. She holds Series 63 and Series 65 licenses and has worked at Royal Alliance Associates, Inc. since 2012. Strom also serves as a board member, secretary, and chair of the Women in Business committee for the Northwest Chamber of Commerce in Pikesville, MD. Additionally, she provides insurance services and supports senior advisors with financial planning at Carroll, Frank & Plotkin, LLC. OSAIC is an SEC-registered investment adviser and FINRA member broker-dealer serving a diverse client base, including individuals, pension plans, corporations, and nonprofits. The firm employs a range of investment strategies and platforms, managing approximately $200 billion in assets through a large network of advisors.