Michael C. Carroll
Professional summary
Michael Christopher Carroll, who also goes by Mike Carroll, is a registered financial advisor currently at CARROLL WEALTH MANAGEMENT INC. located in Chesterfield, Missouri.
Michael is registered as an IAR (Investment Advisor Representative) and started their career in finance in 1991. Michael has worked at 5 firms and has passed the Series 65, Series 63, Series 7 and Series 24 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary) - RIA
Click below to view Michael Christopher Carroll's CRS (Customer Relationship Summary).
Certified licenses
Experience
December 17, 2009 - Present
CARROLL WEALTH MANAGEMENT INC.
Office #1: 16305 Swingley Ridge Rd Suite 210, Chesterfield, MO 63017February 16, 2007 - December 22, 2009
LPL FINANCIAL LLC
February 16, 2007 - December 22, 2009
LPL FINANCIAL LLC
August 28, 2003 - February 20, 2007
AMERIPRISE ADVISOR SERVICES, INC.
August 7, 2003 - February 20, 2007
AMERIPRISE ADVISOR SERVICES, INC.
August 8, 1997 - August 7, 2003
WELLS FARGO CLEARING SERVICES, LLC
August 20, 1991 - August 11, 1997
A. G. EDWARDS & SONS, INC.
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
Highlighted states indicate IAR registrations
(12/17/2009)
Exams
Current Firm
CARROLL WEALTH MANAGEMENT INC.
CRD#: 152211 / SEC#:
Contact information
Regulatory assets under management
| Total Number of Accounts | 13 |
| AUM (Assets Under Management) | $ 1,796,919 |
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.
Company Information
CARROLL WEALTH MANAGEMENT INC.
CRD#: 152211Chesterfield, MO 63017TRUST BUT VERIFY
Monitor Michael Carroll
Get automatic monthly alerts on:
