Christopher D. Carroll

CETERA INVESTMENT ADVISERS LLC

HENDERSONVILLE, TN 37075

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CRD#: 1751417

Professional summary

Christopher D Carroll SR, who also goes by Chris Carroll, Christopher D Carroll, Christopher Dean Carroll, is a registered financial advisor currently at CETERA INVESTMENT ADVISERS LLC located in Hendersonville, Tennessee and CETERA WEALTH SERVICES, LLC located in Hendersonville, Tennessee.

Christopher is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1987. Christopher has worked at 5 firms and has passed the Series 65, Series 63, SIE, Series 7, Series 22 and Series 3 exams.

Question & Answer

Are you a "fiduciary"?

Yes

Aliases

Chris Carroll | Christopher D Carroll | Christopher Dean Carroll

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.

VOLUNTEER STATE BANK; Investment related; 323 E. Main Street, Hendersonville TN 37075; Commercial Lending; Relationship Manager, VP; Start Date 04/2002; 60 hour per month with all 60 hours per month occurring during trading hours; Provide banking and financial services. >> SIMPLICITY FINANCIAL; Investment Related; 323 E Main Street, Hendersonville, TN 37075; Insurance; Agent; Start Date 03/2022; 40 hours per month with those hours per month occurring during trading hours; Offer fixed annuity and insurance products and services to clients. >> INSURANCE; Investment Related; 323 E. Main Street, Hendersonville TN 37075; Insurance; Producer; Start Date 03/2022; 40 hours per month with those hours per month occurring during trading hours; Offer annuity insurance product sales and service to clients and prospects.

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Christopher D Carroll SR's CRS (Customer Relationship Summary).

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

February 20, 2025 - Present

CETERA INVESTMENT ADVISERS LLC

Office #1: 323 E Main Street, Hendersonville, TN 37075

RIA

CRD#: 105644

HENDERSONVILLE, TN

Current

February 20, 2025 - Present

CETERA WEALTH SERVICES, LLC

Office #1: 323 E Main Street, Hendersonville, TN 37075

CRD#: 13572

Hendersonville, TN

Past

August 29, 2016 - February 20, 2025

CONCOURSE FINANCIAL GROUP SECURITIES, INC.

RIA

CRD#: 15708

Hendersonville, TN

Past

August 29, 2016 - February 20, 2025

CONCOURSE FINANCIAL GROUP SECURITIES, INC.

CRD#: 15708

Hendersonville, TN

Past

March 3, 2004 - August 30, 2016

INVEST FINANCIAL CORPORATION

RIA

CRD#: 12984

HENDERSONVILLE, TN

Past

June 5, 2002 - August 30, 2016

INVEST FINANCIAL CORPORATION

CRD#: 12984

HENDERSONVILLE, TN

Past

December 10, 1987 - July 31, 2000

J.C. BRADFORD & CO.

CRD#: 1287

NEW YORK, NY

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".

CETERA INVESTMENT ADVISERS LLC

CRD#: 105644 / SEC#: 801-20406

RIA

Registered Investment Advisory firm - (1/13/1984 Approved)

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.

indicates the advisor is registered as a Registered Representative in this state, allowing them to offer securities such as stocks, bonds, and mutual funds through a broker-dealer.

Visual representation of state registrations

Alabama
(2/20/2025)

Florida
(2/20/2025)

Georgia
(2/20/2025)

Indiana
(7/15/2025)

Kentucky
(2/20/2025)

Maine
(8/18/2025)

Michigan
(6/4/2025)

Ohio
(5/28/2025)

Tennessee
(2/20/2025)

IAR

Tennessee
(2/20/2025)

Texas
(2/20/2025)

IAR

Texas
(4/1/2025)

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. Note: This rule does not apply to broker-dealer activity.

Exams

State Security Law Exam

IAR

Series 65

Date: 9/18/2008

Uniform Investment Adviser Law Examination

State Security Law Exam

Series 63

Date: 12/15/1987

Uniform Securities Agent State Law Examination

General Industry/Product Exam

SIE

Date: 10/1/2018

Securities Industry Essentials Examination

General Industry/Product Exam

Series 7

Date: 6/4/2002

General Securities Representative Examination

General Industry/Product Exam

Series 22

Date: 12/9/1987

Direct Participation Programs Representative Examination

General Industry/Product Exam

Series 3

Date: 10/29/1987

National Commodity Futures Examination

SRO Registrations

FINRA

Current Firm

CETERA INVESTMENT ADVISERS LLC

CRD#: 105644 / SEC#: 801-20406

RIA

Registered Investment Advisory firm - (1/13/1984 Approved)

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Contact information

Main Address

1450 American Lane 6th Floor, Suite 650, Schaumburg, IL 60173-2096

Mailing Address

Phone number

(310) 257-7880

Established

Firm type

Fiscal year end

# of Employees

7,705

SEC notice filing (53 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)

Latest Form ADV

Regulatory assets under management

Total Number of Accounts	584,487
AUM (Assets Under Management)	$ 163,792,814,520

Accountant surprise examination report

Filing Date	Form ADV-E Cover	Form ADV-E Report
10/27/2025	Cover Page	Report
12/13/2024	Cover Page	Report
09/26/2023	Cover Page	Report
11/18/2022	Cover Page	Report

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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Firm Stability Insights

Christopher D. Carroll

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Christopher D Carroll SR's CRS (Customer Relationship Summary).

Certified licenses

Experience

CETERA WEALTH SERVICES, LLC

CONCOURSE FINANCIAL GROUP SECURITIES, INC.

CONCOURSE FINANCIAL GROUP SECURITIES, INC.

INVEST FINANCIAL CORPORATION

INVEST FINANCIAL CORPORATION

J.C. BRADFORD & CO.

Primary Firm SEC Registration

CETERA INVESTMENT ADVISERS LLC

State Registrations and Notice Filings

Exams

Series 65

Date: 9/18/2008

Series 63

Date: 12/15/1987

SIE

Date: 10/1/2018

Series 7

Date: 6/4/2002

Series 22

Date: 12/9/1987

Series 3

Date: 10/29/1987

FINRA

Current Firm

CETERA INVESTMENT ADVISERS LLC

Contact information

SEC notice filing (53 States and Territories)

Documents

Regulatory assets under management

Accountant surprise examination report

Red Flags

Company Information

CETERA INVESTMENT ADVISERS LLC

TRUST BUT VERIFY

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