GC
Grant F. Carroll
STRATEGIC FINANCIAL PARTNERS, LTD
Bend, OR
Some features on this profile are disabled
CRD#: 2735304
GC
Professional summary
Grant Frederick Carroll is a registered financial advisor currently at STRATEGIC FINANCIAL PARTNERS, LTD located in Bend, Oregon and LPL FINANCIAL LLC located in Bend, Oregon.
Grant is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1996. Grant has worked at 3 firms and has passed the Series 66, Series 63, SIE, Series 7, Series 6, Series 51 and Series 24 exams.
Question & Answer
Are you a "fiduciary"?
Yes
Aliases
None
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). 03/27/2009 - REGISTERED INVESTMENT ADVISOR / STRATEGIC FINANCIAL PARTNERS, LTD / 20% OF TIME SPENT. 2). 03/09/2015 - NON-VARIABLE INSURANCE - THIS IS NOT AN AGENCY. JUST SELLING NON VARIABLE INSURANCE AS PART OF COMPREHENSIVE FINANCIAL PLANNING. - TIME SPENT 5 HRS PER MON. - PORTLAND, OR 3). 10/10/2019 - Wavy C Ranch - Not investment related - Home based - Reps Business - start date:06/01/2017 - 3 hrs/mo - 0 hrs during trading.
CRS (Client Relationship Summary) - RIA
Click below to view Grant Frederick Carroll'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®
NoneExperience
Current
April 14, 2009 - Present
STRATEGIC FINANCIAL PARTNERS, LTD
RIA
CRD#: 148858
Bend, OR
Current
May 18, 2004 - Present
LPL FINANCIAL LLC
RIA
BD
CRD#: 6413
BEND, OR
Past
May 18, 2004 - June 29, 2009
LPL FINANCIAL LLC
RIA
CRD#: 6413
LAKE OSWEGO, OR
Past
April 23, 2003 - May 26, 2004
WS GRIFFITH SECURITIES, INC.
RIA
CRD#: 10410
PORTLAND, OR
Past
April 26, 1996 - May 26, 2004
WS GRIFFITH SECURITIES, INC.
BD
CRD#: 10410
HARTFORD, CT
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".
SF
STRATEGIC FINANCIAL PARTNERS, LTD
STRATEGIC FINANCIAL PARTNERS, LTD
CRD#: 148858 / SEC#: 801-77447
RIA
Registered Investment Advisory firm - (12/10/2012 Approved)California
Registered Investment Advisory firm - (1/10/2013 Terminated)Oregon
Registered Investment Advisory firm - (12/21/2012 Terminated)Texas
Registered Investment Advisory firm - (11/30/2012 Terminated)Washington
Registered Investment Advisory firm - (3/22/2013 Terminated)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.RR
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
RR
California(5/18/2004)
RR
Florida(7/9/2021)
RR
Idaho(3/22/2021)
RR
Michigan(2/23/2021)
RR
Missouri(9/12/2011)
RR
New Jersey(8/14/2024)
RR
North Carolina(6/8/2009)
RR
Oregon(5/18/2004)
IAR
Oregon(4/14/2009)
RR
Texas(7/9/2021)
IAR
Texas(8/12/2022)
RR
Washington(5/18/2004)
Exams
State Security Law Exam
State Security Law Exam
General Industry/Product Exam
General Industry/Product Exam
General Industry/Product Exam
Principal/Supervisory Exam
Principal/Supervisory Exam
SRO Registrations
RR
FINRA
Current Firm
SF
STRATEGIC FINANCIAL PARTNERS, LTD
STRATEGIC FINANCIAL PARTNERS, LTD
CRD#: 148858 / SEC#: 801-77447
RIA
Registered Investment Advisory firm - (12/10/2012 Approved)California
Registered Investment Advisory firm - (1/10/2013 Terminated)Oregon
Registered Investment Advisory firm - (12/21/2012 Terminated)Texas
Registered Investment Advisory firm - (11/30/2012 Terminated)Washington
Registered Investment Advisory firm - (3/22/2013 Terminated)Upgrade to AdvisorCheck Premium
Get A Biweekly Pulse, AutomaticallyReceive biweekly alerts automatically. Stay informed and proactive.
Catch Firm-Level Red Flags SoonerCatch leadership changes and disclosures early, before issues escalate.
See Trends. Not Just SnapshotsMonitor firm stability metrics like AUM and advisor ratios over time.
Contact information
Main Address
Bend, OR
Mailing Address
5454 River Road North #20190, Keizer, OR 97307
Phone number
(503) 467-7832
Established
Firm type
Fiscal year end
# of Employees
6
SEC notice filing (6 States and Territories)
Regulatory assets under management
| Total Number of Accounts | 900 |
| AUM (Assets Under Management) | $ 268,796,391 |
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.
