Carroll D. Carson

ADVANCED PLANNING

Greenville, SC 29607-1360

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CRD#: 1887604

Professional summary

Carroll Daniel Carson JR, who also goes by Carroll Daniel Carson, Dan Carson, is a registered financial advisor currently at ADVANCED PLANNING, INC. located in Greenville, South Carolina and CETERA WEALTH SERVICES, LLC located in Greenville, South Carolina.

Carroll is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1988. Carroll has worked at 8 firms and has passed the Series 65, Series 63, SIE, Series 7, Series 22, Series 6 and Series 24 exams.

Question & Answer

Are you a "fiduciary"?

Yes

Aliases

Carroll Daniel Carson | Dan Carson

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.

1)FIXED SALES AS PART OF SECURITIES BUSINESS - NY LIFE AGENT - BRANCH ADDRESS- 20 HRS A MONTH 15 HRS DURING TRADING 2)AP PROPERTIES LLC - 689 FORREST HAVE COURT, GREENVILLE SC 29609 - REALESTATE RENTAL - 1 HR MONTH ZERO DURING TRADING 3) ADVANCED PLANNING INC - RIA FIRM - AT BRANCH OFFICE - FEE BASED ASSET MANAGEMENT - 20 HOURS A WEEK ALL DURING TRADING HOURS - COMPENSATION - FEES 4) NAME OF OTHER BUSINESS: ADVANCED PLANNING INC ; INVESTMENT RELATED: NO ADDRESS: SAME AS REGISTERED LOCATION NATURE OF BUSINESS: ACCOUNT MANAGEMENT ; START DATE: 01/2013 ; POSITION/TITLE/RELATIONSHIP: CONSERVATOR ; APX NUMBER OF HOURS PER WEEK: LESS THAN 1 ; APX NUMBER OF HOURS DURING TRADING HOURS: LESS THAN 1 ; BRIEF DESCRIPTION OF DUTIES: CONSERVATOR DUTIES FOR A MINOR ;

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Carroll Daniel Carson JR'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

March 28, 2013 - Present

ADVANCED PLANNING, INC.

Office #1: 1520 E. North Street, Greenville, SC 29607-1360

RIA

CRD#: 158753

Greenville, SC

Current

September 20, 2019 - Present

CETERA WEALTH SERVICES, LLC

Office #1: 1520 E. North Street, Greenville, SC 29607

CRD#: 13572

Greenville, SC

Past

January 10, 2006 - March 28, 2013

SUMMIT FINANCIAL GROUP INC

RIA

CRD#: 109485

GREENVILLE, SC

Past

December 22, 1999 - September 20, 2019

SUMMIT BROKERAGE SERVICES, INC.

CRD#: 34643

GREENVILLE, SC

Past

July 31, 1997 - January 6, 2000

W.C. SMITH & COMPANY, INC.

CRD#: 36865

GREENVILLE, SC

Past

January 11, 1996 - August 14, 1997

WMA SECURITIES, INC.

CRD#: 32625

DULUTH, GA

Past

August 25, 1994 - January 23, 1996

FSC SECURITIES CORPORATION

CRD#: 7461

ATLANTA, GA

Past

December 1, 1988 - August 25, 1994

NYLIFE SECURITIES LLC

CRD#: 5167

NEW YORK, NY

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
(12/9/2019)

Colorado
(9/20/2019)

Florida
(9/23/2019)

Georgia
(9/20/2019)

Massachusetts
(8/23/2022)

Michigan
(9/20/2019)

IAR

North Carolina
(8/26/2013)

North Carolina
(9/20/2019)

Ohio
(6/21/2021)

IAR

South Carolina
(3/28/2013)

South Carolina
(9/20/2019)

Utah
(9/29/2020)

Virginia
(5/9/2024)

Wisconsin
(9/13/2024)

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: 1/26/2000

Uniform Investment Adviser Law Examination

State Security Law Exam

Series 63

Date: 11/29/1988

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: 10/28/1997

General Securities Representative Examination

General Industry/Product Exam

Series 22

Date: 7/28/1989

Direct Participation Programs Representative Examination

General Industry/Product Exam

Series 6

Date: 11/29/1988

Investment Company Products/Variable Contracts Representative Examination

Principal/Supervisory Exam

Series 24

Date: 10/13/1999

General Securities Principal Examination

SRO Registrations

FINRA

Current Firm

ADVANCED PLANNING, INC.

CRD#: 158753 / SEC#:

North Carolina

Registered Investment Advisory firm - (8/22/2013 Approved)

South Carolina

Registered Investment Advisory firm - (1/11/2013 Approved)

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Contact information

Main Address

1520 E. North Street, Greenville, SC 29607-1360

Mailing Address

Phone number

(864) 242-1914

Established

Firm type

Fiscal year end

# of Employees

Documents

Latest Form ADV

Regulatory assets under management

Total Number of Accounts	389
AUM (Assets Under Management)	$ 42,685,746

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

Carroll D. Carson

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Carroll Daniel Carson JR's CRS (Customer Relationship Summary).

Certified licenses

Experience

CETERA WEALTH SERVICES, LLC

SUMMIT FINANCIAL GROUP INC

SUMMIT BROKERAGE SERVICES, INC.

W.C. SMITH & COMPANY, INC.

WMA SECURITIES, INC.

FSC SECURITIES CORPORATION

NYLIFE SECURITIES LLC

State Registrations and Notice Filings

Exams

Series 65

Date: 1/26/2000

Series 63

Date: 11/29/1988

SIE

Date: 10/1/2018

Series 7

Date: 10/28/1997

Series 22

Date: 7/28/1989

Series 6

Date: 11/29/1988

Series 24

Date: 10/13/1999

FINRA

Current Firm

ADVANCED PLANNING, INC.

Contact information

Documents

Regulatory assets under management

Red Flags

Company Information

ADVANCED PLANNING, INC.

TRUST BUT VERIFY

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