Carolyn Larocco

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CRD#: 1720792

Professional summary

Being a previously registered professional could mean that this person is no longer operating under the supervision of the SEC or FINRA.

That means that the Securities and Exchange Commission may not be able to oversee the services that this specific professional is providing.

Carolyn Larocco, CFP®, CIMA® was a registered financial professional .

Carolyn is a previously registered financial professional and started their career in finance in 1993. Carolyn had worked at 8 firms and has passed the Series 63, Series 65, SIE, Series 7 and Series 8 exams.

Question & Answer

Are you a "fiduciary"?

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.

The advisor shows no other business activity.

Blog Corner

CRS (Client Relationship Summary)

The CRS(Customer Relationship Summary) document is not provided.

Certified licenses

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

CFP^®

Certified Financial Planner

CRD#: 705

ATLANTA, GA

Past

January 1, 2001 - February 13, 2013

MORGAN KEEGAN & COMPANY, LLC

RIA

CRD#: 4161

ATLANTA, GA

Past

January 28, 1998 - February 13, 2013

MORGAN KEEGAN & COMPANY, LLC

CRD#: 4161

ATLANTA, GA

Past

April 3, 1997 - January 9, 1998

RAYMOND JAMES & ASSOCIATES, INC.

CRD#: 705

ST. PETERSBURG, FL

Past

October 18, 1993 - March 26, 1997

STERNE, AGEE & LEACH, INC.

CRD#: 791

BIRMINGHAM, AL

Past

April 12, 1993 - September 30, 1993

ALEX. BROWN & SONS INCORPORATED

CRD#: 20

Primary Firm SEC Registration

This SEC-registered firm can serve clients nationwide. Some states may require the firm to submit a notice filing if the firm has more than 5 clients or a physical office there. You can view these state-level filings under the section titled "State Registrations and Notice Filings".

LCP INSTITUTIONAL, LLC

CRD#: 325133 / SEC#: 801-127386

RIA

Registered Investment Advisory firm - (3/15/2023 Approved)

State Registrations and Notice Filings

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

Visual representation of state registrations

This advisor is not registered in any state.

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

Series 63

Date: 4/7/1997

Uniform Securities Agent State Law Examination

State Security Law Exam

IAR

Series 65

Date: 5/4/1994

Uniform Investment Adviser Law Examination

General Industry/Product Exam

SIE

Date: 9/11/2015

Securities Industry Essentials Examination

General Industry/Product Exam

Series 7

Date: 4/8/1993

General Securities Representative Examination

Principal/Supervisory Exam

Series 8

Date: 4/22/1997

General Securities Sales Supervisor Examination (Options Module & General Module)

Current Firm

LCP INSTITUTIONAL, LLC

CRD#: 325133 / SEC#: 801-127386

RIA

Registered Investment Advisory firm - (3/15/2023 Approved)

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Contact information

Main Address

The Arts Center Tower 1270 West Peachtree Street, Suite 3, Atlanta, GA 30309

Mailing Address

Phone number

(470) 326-7920

Established

Firm type

Fiscal year end

# of Employees

SEC notice filing (4 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)

Latest Form ADV

Part 2 Brochures

LCP INSTITUTIONAL, LLCP FIRM BROCHURE REVISED 3.20.2025 (4/15/2025)

Regulatory assets under management

Total Number of Accounts	448
AUM (Assets Under Management)	$ 2,017,279,733

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

Carolyn Larocco

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary)

Certified licenses

Experience

CARDEA CAPITAL GROUP, INC.

CARDEA CAPITAL ADVISORS, LLC

BISON WEALTH, LLC

RAYMOND JAMES & ASSOCIATES, INC.

RAYMOND JAMES & ASSOCIATES, INC.

MORGAN KEEGAN & COMPANY, LLC

MORGAN KEEGAN & COMPANY, LLC

RAYMOND JAMES & ASSOCIATES, INC.

STERNE, AGEE & LEACH, INC.

ALEX. BROWN & SONS INCORPORATED

Primary Firm SEC Registration

LCP INSTITUTIONAL, LLC

State Registrations and Notice Filings

Exams

Series 63

Date: 4/7/1997

Series 65

Date: 5/4/1994

SIE

Date: 9/11/2015

Series 7

Date: 4/8/1993

Series 8

Date: 4/22/1997

Current Firm

LCP INSTITUTIONAL, LLC

Contact information

SEC notice filing (4 States and Territories)

Documents

Part 2 Brochures

Regulatory assets under management

Red Flags

Company Information

LCP INSTITUTIONAL, LLC

TRUST BUT VERIFY

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