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Thomas Carroll

Chief Executive Officer at HB Wealth Management

Investment adviser registrationAtlanta, GASEC record checked 17 October 2026

25
Years in the industry
4
Years at the firm
6
Adviser firms
1
State registrations

IAPD record retrieved 17 October 2026SEC record

Thomas Carroll is Chief Executive Officer of HB Wealth Management, LLC, a Atlanta investment adviser managing $30.2B. Thomas Carroll has been registered through HB Wealth Management since 8 November 2021, has 25 years in the industry across 6 firms and has passed the Series 7, Series 66, Series 24 and SIE.

Role at HB Wealth Management

Title on Schedule A
Chief Executive Officer
Control
Thomas Carroll is a control person of HB Wealth Management.
Ownership
An individual ownership band is not available in the source record.
Tenure
Thomas Carroll has held the filed role since January 2024.

The firm

HB Wealth Management, LLC
Atlanta, GA

Form ADV filed 3 September 2026

$30.2B AUM5,459 clients152 advisers12 offices

Career on record

Thomas Carroll has been registered through HB Wealth Management since November 2021, and before that through Genspring Family Offices, LLC, Suntrust Advisory Services, Inc., Suntrust Investment Services, Inc. and We Family Offices.

Firms and exams, newest first
  1. Hb WealthCurrent
    – present · 5 years
    Atlanta, GA · Adviser representative · Firm CRD 316731
  2. Homrich Berg
    – · 2 years
    Atlanta, GA · Adviser representative · Firm CRD 108189
  3. Passed SIE · 2018
  4. Genspring Family Offices, LLC
    – · 1 year
    Atlanta, GA · Adviser representative · Firm CRD 109278
  5. Suntrust Advisory Services, Inc.
    – · 3 years
    Atlanta, GA · Adviser representative · Firm CRD 283390
  6. Suntrust Investment Services, Inc.
    – · 2 years
    Atlanta, GA · Adviser representative · Firm CRD 17499
  7. We Family Offices
    – · 1 year
    Atlanta, GA · Adviser representative · Firm CRD 109869
  8. Genspring Family Offices, LLC
    – · 2 years
    Atlanta, GA · Adviser representative · Firm CRD 109278
  9. Passed Series 24 · 2005
  10. Suntrust Investment Services, Inc.
    – · 10 years
    Atlanta, GA · Adviser representative · Firm CRD 17499
  11. Passed Series 7 and Series 66 · 2000

Registrations and exams

Thomas Carroll has a current investment-adviser registration in Georgia and has passed 4 qualifying exams.

Georgia8 November 2021
Scope
Investment adviser representative
Status
Approved

Examinations

Series 6624 July 2000
Name
Uniform Combined State Law Examination
Series 2422 February 2005
Name
General Securities Principal Examination
SIE1 October 2018
Name
Securities Industry Essentials Examination
Series 717 July 2000
Name
General Securities Representative Examination

Individual record

Full name
Thomas Mclemore Carroll
CRD
4199835
Firm
HB Wealth Management, LLC
Registration status
Investment adviser registration
Office
3550 LENOX RD NE, SUITE 2700, Atlanta, GA 30326
Firm bio
hbwealth.com

This directory does not report disciplinary history, for any firm or individual, in either direction. The SEC publishes the complete record, including any disciplinary events, and it is the authoritative place to check one. Check this record on adviserinfo.sec.gov

Background

HB Wealth identifies Thomas Carroll as CEO and describes his four years as president before the transition. Official firm biography

Common questions

Where does Thomas Carroll work?

Thomas Carroll has been Chief Executive Officer of HB Wealth Management, LLC since January 2024, and is a control person of the firm.

Source: Form ADV, Schedule A, filed 3 September 2026

Is Thomas Carroll a financial advisor?

Yes. Thomas Carroll has a current investment-adviser registration in Georgia, through HB Wealth Management since November 2021, as of 17 October 2026.

Source: IAPD individual record, checked 17 October 2026

How many years of experience does Thomas Carroll have?

Thomas Carroll has worked in the financial industry for 25 years as of 17 October 2026, counted from 21 November 2000, across 6 adviser firms.

Source: IAPD individual record, checked 17 October 2026

What exams has Thomas Carroll passed?

Thomas Carroll has passed 4 licensing exams: the Series 7, Series 66, Series 24 and SIE. The earliest, the Series 7, was passed in July 2000.

Source: IAPD individual record, checked 17 October 2026

Where did Thomas Carroll work before HB Wealth Management?

Before HB Wealth Management, Thomas Carroll was registered through Genspring Family Offices, LLC, June 2017 to December 2017; Suntrust Advisory Services, Inc., October 2016 to November 2019; Suntrust Investment Services, Inc., August 2014 to December 2016; We Family Offices, February 2013 to November 2013; Genspring Family Offices, LLC, January 2013 to August 2014; Suntrust Investment Services, Inc., July 2002 to November 2012.

Source: IAPD individual record, checked 17 October 2026

Where is Thomas Carroll based?

Thomas Carroll’s registered office is in Atlanta, GA.

Source: IAPD individual record, checked 17 October 2026

Leadership at HB Wealth Management

Sources

  1. IAPD individual record, CRD 4199835. Registration status, employment history and examinations.
  2. Form ADV Part 1A, Schedules A and B of HB Wealth Management, LLC, filed 3 September 2026. Title, control and ownership bands.
  3. HB Wealth Management team page. Biography, education, credentials, awards.

Retrieved 17 October 2026. The SEC record may have been amended since.

Report a correction

This profile is compiled from public regulatory records and the firm's own published materials, and is provided for informational purposes only. Niva Wealth is not affiliated with Thomas Carroll or HB Wealth Management, LLC and makes no representation about the quality of their services. This directory does not report disciplinary history, in either direction.