Good Questions

As financial advisors, our job is to build an personal investment strategy around your individual or family needs. Following are some questions to help you understand a little more about the way that we work—and what sets us upart.

What is a financial advisor and what do you do?
A financial advisor is someone who helps you set financial goals for your future, and helps you develop a strategy to achieve those goals.  We work with you to determine how much you'll need for areas such as retirement, college, day to day expenses. We then help to create a budget to save money for those events. We also manage those funds to make sure they are getting the best possible returns in accordance with your risk tolerance. 

What does a working relationship look like? What services do I receive?
We believe in communication and transparency with our clients. After an initial meeting to determine where someone is in his or her financial life, we will settle on a course of action and devise a plan.  We like to meet with each client in person at least once a quarter to re-assess the plan and to make sure they are aware of what is going on with the investments. 

What type of investments does Palisade make?
Because Palisade Financial is independant of any other investment firm, we are free to choose the investment products we feel are the best fit for each client. Palisade primarily employees various mutual funds and Exchange Traded Funds, or ETFs, as well as more complex strategies such as covered call writing in an effort to maximize return on investment.

Are you registered or licensed?
Yes. Palisade Financial is a registered investment advisory firm with the state of California and Mr. Carroll holds a series 7 and 66 license with FINRA, the Financial Industry Regulatory Authority.

How do I learn more?
Feel free to contact David directly at or call our office at (510) 350-7174