Stephen L. Carroll

ALLSTATE FINANCIAL SERVICES

Provo, UT 84604-6659

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CRD#: 2304873

Professional summary

Stephen Lee Carroll, who also goes by Steve Carroll, is a registered financial professional currently at ALLSTATE FINANCIAL SERVICES, LLC located in Provo, Utah.

Stephen is registered as a RR (Registered Representative) and started their career in finance in 1994. Stephen has worked at 5 firms and has passed the Series 65, Series 63, SIE, Series 6 and Series 26 exams.

Question & Answer

Are you a "fiduciary"?

Aliases

Steve 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.

The advisor shows no other business activity.

Blog Corner

CRS (Client Relationship Summary) - BD

Click below to view Stephen Lee Carroll'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

September 10, 2009 - Present

ALLSTATE FINANCIAL SERVICES, LLC

Office #1: 3575 N 100 E Ste 275, Provo, UT 84604-6659

CRD#: 18272

Provo, UT

Past

March 17, 2005 - December 31, 2008

PREMIER SECURITIES OF AMERICA, INC.

RIA

CRD#: 127022

SUWANEE, GA

Past

March 14, 2005 - December 31, 2008

PREMIER SECURITIES OF AMERICA, INC.

CRD#: 127022

SUWANEE, GA

Past

January 31, 2003 - March 16, 2005

AMERICAN GENERAL SECURITIES INCORPORATED

CRD#: 13626

PHOENIX, AZ

Past

November 15, 1996 - January 31, 2003

VOYA FINANCIAL ADVISORS, INC.

CRD#: 2882

WINDSOR, CT

Past

December 13, 1994 - November 7, 1995

VOYA FINANCIAL ADVISORS, INC.

CRD#: 2882

WINDSOR, CT

Past

October 25, 1994 - November 16, 1994

MARINER FINANCIAL SERVICES, INC.

CRD#: 8292

LARGO, FL

State Registrations and Notice Filings

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

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

Georgia
(9/10/2009)

Idaho
(2/22/2021)

Utah
(8/2/2016)

Exams

State Security Law Exam

IAR

Series 65

Date: 11/3/2003

Uniform Investment Adviser Law Examination

State Security Law Exam

Series 63

Date: 9/23/1994

Uniform Securities Agent State Law Examination

General Industry/Product Exam

SIE

Date: 10/1/2018

Securities Industry Essentials Examination

General Industry/Product Exam

Series 6

Date: 10/24/1994

Investment Company Products/Variable Contracts Representative Examination

Principal/Supervisory Exam

Series 26

Date: 5/23/2000

Investment Company Products/Variable Contracts Principal Examination

SRO Registrations

FINRA

Current Firm

ALLSTATE FINANCIAL SERVICES, LLC

ALLSTATE FINANCIAL SERVICES, LLC | LSA SECURITIES, INC. | LAUGHLIN GROUP ADVISORS, INC. | ALLSTATE FINANCIAL SERVICES, LLC OF DELAWARE | ALLSTATE FINANCIAL SERVICES, LLC D/B/A LSA SECURITIES

CRD#: 18272 / SEC#: , 8-36365

Broker-Dealer Firm Regulated by FINRA (Kansas City district office)

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Contact information

Main Address

151 N 8th Street, Suite 450, Lincoln, NE 68508-1380

Mailing Address

Po Box 83271, Lincoln, NE 68501-3271

Phone number

(877) 232-2142

Established

Delaware since 11/01/1999

Firm type

Limited Liability Company

Fiscal year end

December

Firm Size

Large

# of Employees

FINRA licenses (51 States and Territories)

Documents

Customer Relationship Summary (CRS / FINRA)

Direct owners and executive officers

Name	Position	CRD#
ALLSTATE INSURANCE COMPANY	OWNER
BOUDREAU, JOHN DOUGLAS	CHIEF COMPLIANCE OFFICER, VICE PRESIDENT AND EXECUTIVE REPRESENTATIVE	6357880
DELANEY, SCOTT SULLIVAN	PRESIDENT AND CHIEF EXECUTIVE OFFICER	2978681
LANSPA, PAUL DONALD	CHIEF OPERATING OFFICER	6449159
MUELLER, DAVID JOHN	GENERAL COUNSEL AND SECRETARY	7807045
NELSON, MARY KRIS	CHAIRMAN OF THE BOARD	2464654
SWEENEY, MICHAEL DANIEL	AML OFFICER	2026113
WHITCOMB, MICHAEL JAMES	FINOP	7495756

Disclosures

Regulatory Event	4
Arbitration	1

Red Flags

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

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Firm Stability Insights

Stephen L. Carroll

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - BD

Click below to view Stephen Lee Carroll's CRS (Customer Relationship Summary).

Certified licenses

Experience

PREMIER SECURITIES OF AMERICA, INC.

PREMIER SECURITIES OF AMERICA, INC.

AMERICAN GENERAL SECURITIES INCORPORATED

VOYA FINANCIAL ADVISORS, INC.

VOYA FINANCIAL ADVISORS, INC.

MARINER FINANCIAL SERVICES, INC.

State Registrations and Notice Filings

Exams

Series 65

Date: 11/3/2003

Series 63

Date: 9/23/1994

SIE

Date: 10/1/2018

Series 6

Date: 10/24/1994

Series 26

Date: 5/23/2000

FINRA

Current Firm

ALLSTATE FINANCIAL SERVICES, LLC

Contact information

FINRA licenses (51 States and Territories)

Documents

Direct owners and executive officers

Disclosures

Red Flags

Company Information

ALLSTATE FINANCIAL SERVICES, LLC

TRUST BUT VERIFY

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