Daniel I. Carroll

STRIDE INVESTMENTS

Chicago, IL 60614

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CRD#: 2370017

Professional summary

Daniel I Carroll, who also goes by Daniel I Carroll, Daniel Ignatius Carroll, is a registered financial advisor currently at STRIDE INVESTMENTS, LLC located in Chicago, Illinois.

Daniel is registered as an IAR (Investment Advisor Representative) and started their career in finance in 2018. Daniel has worked at 2 firms and has passed the Series 66, SIE and Series 7 exams.

Question & Answer

Are you a "fiduciary"?

Yes

Aliases

Daniel I Carroll | Daniel Ignatius 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.

STRIDE Investments, LLC; Inv Rel; Insurance Agent; Insurance sales and services; Chicago, IL; Start: 02/2023; approximately 10% of time spent in this practice.

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Daniel I 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

March 21, 2023 - Present

STRIDE INVESTMENTS, LLC

Office #1: 1925 N Clybourn Ave Suite 301, Chicago, IL 60614

RIA

CRD#: 167037

Chicago, IL

Past

November 1, 2018 - January 20, 2023

EDWARD JONES

RIA

CRD#: 250

PARK RIDGE, IL

Past

September 27, 2018 - January 20, 2023

EDWARD JONES

CRD#: 250

PARK RIDGE, IL

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".

STRIDE INVESTMENTS, LLC

@FINANCIAL INVESTMENTS | STRIDE INVESTMENTS, LLC | AT WORLD INVESTMENTS, LLC

CRD#: 167037 / SEC#: 801-118363

RIA

Registered Investment Advisory firm - (4/2/2020 Approved)

Illinois

Registered Investment Advisory firm - (4/2/2020 Terminated)

Why is a state registration marked "Terminated"? When a firm registers with the SEC (usually after managing $100M+ AUM), it often withdraws separate state firm registrations unless required by that state. The firm can still serve clients there through its individually registered Investment Advisor Representatives (IARs).

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.

Highlighted states indicate IAR registrations

IAR

Illinois
(3/21/2023)

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

IAR

Series 66

Date: 10/31/2018

Uniform Combined State Law Examination

General Industry/Product Exam

SIE

Date: 10/1/2018

Securities Industry Essentials Examination

General Industry/Product Exam

Series 7

Date: 9/27/2018

General Securities Representative Examination

Current Firm

STRIDE INVESTMENTS, LLC

@FINANCIAL INVESTMENTS | STRIDE INVESTMENTS, LLC | AT WORLD INVESTMENTS, LLC

CRD#: 167037 / SEC#: 801-118363

RIA

Registered Investment Advisory firm - (4/2/2020 Approved)

Illinois

Registered Investment Advisory firm - (4/2/2020 Terminated)

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Contact information

Main Address

1925 N Clybourn Ave Suite 301, Chicago, IL 60614

Mailing Address

Phone number

(312) 767-9166

Established

Firm type

Fiscal year end

# of Employees

SEC notice filing (14 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)

Latest Form ADV

Part 2 Brochures

ADV 2A & 2B SEC (3/7/2025)

Regulatory assets under management

Total Number of Accounts	1,649
AUM (Assets Under Management)	$ 197,000,922

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.

Contact information

(xxx) xxx-xxxx

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Daniel I. Carroll

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

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

Certified licenses

Experience

STRIDE INVESTMENTS, LLC

EDWARD JONES

EDWARD JONES

Primary Firm SEC Registration

STRIDE INVESTMENTS, LLC

State Registrations and Notice Filings

Exams

Series 66

Date: 10/31/2018

SIE

Date: 10/1/2018

Series 7

Date: 9/27/2018

Current Firm

STRIDE INVESTMENTS, LLC

Contact information

SEC notice filing (14 States and Territories)

Documents

Part 2 Brochures

Regulatory assets under management

Red Flags

Company Information

STRIDE INVESTMENTS, LLC

TRUST BUT VERIFY

Contact information

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