Rob B. Carroll
Corporate Officer/Principal at The District of Columbia Bar
Profile
Mr. Rob B.
Carroll is Chief Compliance Officer at Golden Capital Management LLC.
Prior to joining Golden Capital Management in May 2006, he served as General Counsel and Chief Compliance Officer for Stephens Investment Management Group.
His prior positions include Associate General Counsel at Bank of America Corporation, Senior Special Counsel in the Division of Investment Management at the United States Securities and Exchange Commission, and associate attorney at Steptoe & Johnson.
Mr. Carroll graduated with a BA in economics from Dartmouth College in 1982 and a JD from the Duke University School of Law in 1985.
He is a member of the Virginia and District of Columbia bar associations.
Rob B. Carroll active positions
| Companies | Position | Start |
|---|---|---|
The District of Columbia Bar
 The District of Columbia Bar Miscellaneous Commercial ServicesCommercial Services The District of Columbia Bar provides legal services. The private company is based in Washington. | Corporate Officer/Principal | 2011-06-19 |
| The Virginia Bar Association | Corporate Officer/Principal | 2011-06-19 |
Former positions of Rob B. Carroll
| Companies | Position | End |
|---|---|---|
Steptoe & Johnson LLP
 Steptoe & Johnson LLP Miscellaneous Commercial ServicesCommercial Services Steptoe & Johnson LLP provides legal services. It specializes in criminal defense and investigations; intellectual property; international trade, compliance, and investment; litigation; regulatory and legislative; and tax, transactions, and private client. The company was founded by Philip Steptoe and Louis A. Johnson in 1945 and is headquartered in Washington, DC. | Corporate Officer/Principal | - |
Stephens Investment Management Group LLC
 Stephens Investment Management Group LLC Investment ManagersFinance Stephens Investment Management Group LLC (SIMG) is a SEC-registered investment advisor headquartered in Little Rock, Arkansas. The firm was founded in 2005 and is a wholly-owned subsidiary of Stephens Investments Holdings LLC, which is a privately held company, owned by the Warren A. Stephens Trust controlled by Warren A. Stephens. SIMG is primarily an investment adviser to institutional accounts, high net-worth individuals and to investment companies. | General Counsel | - |
| MERRILL LYNCH PREFERRED CAPITAL TRUST I | Corporate Officer/Principal | - |
Golden Capital Management LLC
 Golden Capital Management LLC Investment ManagersFinance Founded in 1999 by Greg Golden and Jeff Moser, Golden Capital Management LLC (GCM) is a registered investment advisor located in Charlotte, North Carolina. The firm is a subsidiary of Wells Capital Management, Inc. and their ultimate parent is Wells Fargo & Co. (NYSE: WFC). They provide discretionary and non-discretionary investment advisory services to individuals, pension plans, institutions, investment companies and other types of clients. GCM clients may include affiliates of GCM, including without limitation, Wells Fargo Bank and Wells Fargo Advisors LLC. | Compliance Officer | - |
Training of Rob B. Carroll
| Dartmouth College | Undergraduate Degree |
| Duke University | Graduate Degree |
Experiences
Positions held
Connections
1st degree connections
1st degree companies
Male
Female
Members of the board
Executives
Linked companies
| Listed companies | 1 |
|---|---|
| MERRILL LYNCH PREFERRED CAPITAL TRUST I | Finance |
| Private companies | 5 |
|---|---|
Golden Capital Management LLC
Golden Capital Management LLC Investment ManagersFinance Founded in 1999 by Greg Golden and Jeff Moser, Golden Capital Management LLC (GCM) is a registered investment advisor located in Charlotte, North Carolina. The firm is a subsidiary of Wells Capital Management, Inc. and their ultimate parent is Wells Fargo & Co. (NYSE: WFC). They provide discretionary and non-discretionary investment advisory services to individuals, pension plans, institutions, investment companies and other types of clients. GCM clients may include affiliates of GCM, including without limitation, Wells Fargo Bank and Wells Fargo Advisors LLC. | Finance |
Stephens Investment Management Group LLC
Stephens Investment Management Group LLC Investment ManagersFinance Stephens Investment Management Group LLC (SIMG) is a SEC-registered investment advisor headquartered in Little Rock, Arkansas. The firm was founded in 2005 and is a wholly-owned subsidiary of Stephens Investments Holdings LLC, which is a privately held company, owned by the Warren A. Stephens Trust controlled by Warren A. Stephens. SIMG is primarily an investment adviser to institutional accounts, high net-worth individuals and to investment companies. | Finance |
Steptoe & Johnson LLP
Steptoe & Johnson LLP Miscellaneous Commercial ServicesCommercial Services Steptoe & Johnson LLP provides legal services. It specializes in criminal defense and investigations; intellectual property; international trade, compliance, and investment; litigation; regulatory and legislative; and tax, transactions, and private client. The company was founded by Philip Steptoe and Louis A. Johnson in 1945 and is headquartered in Washington, DC. | Commercial Services |
The District of Columbia Bar
The District of Columbia Bar Miscellaneous Commercial ServicesCommercial Services The District of Columbia Bar provides legal services. The private company is based in Washington. | Commercial Services |
| The Virginia Bar Association |
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