Kevin A. Carroll

LIFE STAGE INVESTING

Atlantic, NC

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CRD#: 1697190

Professional summary

Kevin Auguste Carroll is a registered financial advisor currently at LIFE STAGE INVESTING, LLC located in Atlantic, North Carolina.

Kevin is registered as an IAR (Investment Advisor Representative) and started their career in finance in 1988. Kevin has worked at 14 firms and has passed the Series 66, Series 65, Series 63, Series 7TO, SIE and Series 7 exams.

Question & Answer

Are you a "fiduciary"?

Yes

Aliases

None

Other business activities

Outside business activity is any business or activity undertaken by an advisor that is outside the scope of their relationship with their firm (e.g., consulting services, real estate, freelance work, teaching, etc.). Investors should stay informed about these activities to ensure no conflicts of interest.

FOUNDER & CEO PLACEMENT LOOP, INC. - 299 CORE SOUND LOOP RF. ATLANTIC, NC 28511. INVESTMENT RELATED. WORKFORCE DEVELOPMENT TECHNOLOGY COMPANY AND REG D OFFERING UNDER RULE 506 OF SECURITIES ACT STARTED 06/2014. MANAGING MEMBER ROTORLIFE SOLUTIONS LLC - 299 CORE SOUND LOOP RF. ATLANTIC, NC 28511. WORKFORCE DEVELOPMENT FIRM SERVING HELICOPTER INDUSTRY. 80 HOURS PER MONTH, 2 HOURS PER DAY DURING TRADING HOURS. ICE HOCKEY LLC DBA HOCKEY ADVISOR PRO; NOT INVESTMENT RELATED; address; SOFTWARE DEVELOPER FORHOCKEY RECRUITING & PLACEMENT INDUSTRY. LIFE STAGE PLANNING, LLC; INVESTMENT RELATED; address; INSURANCE;INSURANCE AGENT; 40HRS/8HRS; SALES OF INSURANCE PRODUCTS

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Kevin Auguste Carroll's CRS (Customer Relationship Summary).

Certified licenses

Advisors may have various certifications and credentials from different organizations. AdvisorCheck highlights these seven certifications - AIF®, CFP®, ChFC®, CFA, CLU®, CIMA®, CPWA®

None

Experience

Current

April 27, 2021 - Present

LIFE STAGE INVESTING, LLC

RIA

CRD#: 19616

ST. LOUIS, MO

Past

August 30, 1999 - October 1, 1999

FIRST UNION CAPITAL MARKETS CORP.

CRD#: 6124

CHARLOTTE, NC

Past

May 22, 1992 - September 2, 1999

EDWARD JONES

CRD#: 250

ST. LOUIS, MO

Past

February 2, 1989 - June 3, 1992

UBS FINANCIAL SERVICES INC.

CRD#: 8174

WEEHAWKEN, NJ

Past

May 5, 1988 - January 10, 1989

PAMCO SECURITIES AND INSURANCE SERVICES

CRD#: 11028

Past

February 23, 1988 - June 13, 1988

PRUDENTIAL EQUITY GROUP, LLC

CRD#: 7471

State Registrations and Notice Filings

Listed states reflect where the advisor is authorized to serve clients under state regulations.

IAR

means the advisor is registered as an Investment Advisor Representative in this state and is authorized to provide investment advice to clients there.

Highlighted states indicate IAR registrations

IAR

North Carolina
(4/27/2021)

Don't see your state listed? The advisor may still be able to work with you under the federal De Minimis Rule, which allows up to five investment advisory clients in a state without registration. Some states, like TX, LA, NE, and NH, may still require registration or notice filing. Contact the advisor or their firm to confirm their investment advisory availability in your state.

Exams

State Security Law Exam

IAR

Series 66

Date: 10/15/2019

Uniform Combined State Law Examination

State Security Law Exam

IAR

Series 65

Date: 3/27/2006

Uniform Investment Adviser Law Examination

State Security Law Exam

Series 63

Date: 4/20/1988

Uniform Securities Agent State Law Examination

General Industry/Product Exam

Series 7TO

Date: 10/15/2019

General Securities Representative Examination

General Industry/Product Exam

SIE

Date: 8/19/2019

Securities Industry Essentials Examination

General Industry/Product Exam

Series 7

Date: 2/20/1988

General Securities Representative Examination

Current Firm

LIFE STAGE INVESTING, LLC

CRD#: 311676 / SEC#:

North Carolina

Registered Investment Advisory firm - (4/27/2021 Approved)

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Contact information

Main Address

Atlantic, NC

Mailing Address

Phone number

(252) 499-0248

Established

Firm type

Fiscal year end

# of Employees

Documents

Latest Form ADV

Regulatory assets under management

Total Number of Accounts	37
AUM (Assets Under Management)	$ 1,900,000

Red Flags

Disclosures can be potential red flags, including customer disputes, regulatory fines, employer terminations, bankruptcies, judgments, liens, or certain criminal activities.

Check for any disclosures as part of your thorough research when choosing an advisor.

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Advisor Monitoring

Firm Stability Insights

Kevin A. Carroll

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Kevin Auguste Carroll's CRS (Customer Relationship Summary).

Certified licenses

Experience

MARKET STREET WEALTH MANAGEMENT

USA FINANCIAL SECURITIES LLC

BERTHEL, FISHER & COMPANY FINANCIAL SERVICES, INC.

BERTHEL, FISHER & COMPANY FINANCIAL SERVICES, INC.

SPC

SIGMA FINANCIAL CORPORATION

SUMMIT FINANCIAL GROUP INC

SUMMIT BROKERAGE SERVICES, INC.

WELLS FARGO CLEARING SERVICES, LLC

WELLS FARGO CLEARING SERVICES, LLC

FIRST UNION CAPITAL MARKETS CORP.

EDWARD JONES

UBS FINANCIAL SERVICES INC.

PAMCO SECURITIES AND INSURANCE SERVICES

PRUDENTIAL EQUITY GROUP, LLC

State Registrations and Notice Filings

Exams

Series 66

Date: 10/15/2019

Series 65

Date: 3/27/2006

Series 63

Date: 4/20/1988

Series 7TO

Date: 10/15/2019

SIE

Date: 8/19/2019

Series 7

Date: 2/20/1988

Current Firm

LIFE STAGE INVESTING, LLC

Contact information

Documents

Regulatory assets under management

Red Flags

Company Information

LIFE STAGE INVESTING, LLC

TRUST BUT VERIFY

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