Stephen D. Carroll

CARROLL INVESTORS

Mt Pleasant, SC 29464

Some features on this profile are disabled

CRD#: 2804183

Professional summary

Stephen Darryl Carroll, who also goes by Stephen D. Carroll, is a registered financial advisor currently at CARROLL INVESTORS, INC. located in Mt Pleasant, South Carolina.

Stephen is registered as an IAR (Investment Advisor Representative) and started their career in finance in 1996. Stephen has worked at 6 firms and has passed the Series 65, Series 63, SIE and Series 7 exams.

Question & Answer

Are you a "fiduciary"?

Yes

Aliases

Stephen D. 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.

RAYMOND JAMES & ASSOCIATE, INC.;INVESTMENT RELATED; REGISTERED ASSOCIATE; START 2/2013; XX HRS PER MONTH AND XX HRS PER MONTH DURING SECURITIES TRADING HOURS.

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Stephen Darryl 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

November 30, 2020 - Present

CARROLL INVESTORS, INC.

Office #1: 1036 Lansing Dr Suite 102, Mt Pleasant, SC 29464

RIA

CRD#: 311180

Mt Pleasant, SC

Past

February 13, 2013 - December 31, 2020

RAYMOND JAMES & ASSOCIATES, INC.

RIA

CRD#: 705

MOUNT PLEASANT, SC

Past

February 13, 2013 - December 31, 2020

RAYMOND JAMES & ASSOCIATES, INC.

CRD#: 705

MOUNT PLEASANT, SC

Past

December 11, 2008 - February 13, 2013

MORGAN KEEGAN & COMPANY, LLC

RIA

CRD#: 4161

CHARLESTON, SC

Past

December 8, 2008 - February 13, 2013

MORGAN KEEGAN & COMPANY, LLC

CRD#: 4161

CHARLESTON, SC

Past

October 14, 2002 - December 16, 2008

UBS FINANCIAL SERVICES INC.

RIA

CRD#: 8174

CHARLESTON, SC

Past

September 27, 2002 - December 16, 2008

UBS FINANCIAL SERVICES INC.

CRD#: 8174

CHARLESTON, SC

Past

June 15, 2002 - October 1, 2002

WELLS FARGO CLEARING SERVICES, LLC

CRD#: 19616

ST. LOUIS, MO

Past

December 16, 1996 - June 15, 2002

WACHOVIA SECURITIES, INC.

CRD#: 431

CHARLOTTE, NC

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".

CARROLL INVESTORS, INC.

CRD#: 311180 / SEC#: 801-119870

RIA

Registered Investment Advisory firm - (11/30/2020 Approved)

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

South Carolina
(11/30/2020)

IAR

Texas
(11/30/2020)

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 65

Date: 8/12/1997

Uniform Investment Adviser Law Examination

State Security Law Exam

Series 63

Date: 12/31/1996

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: 12/13/1996

General Securities Representative Examination

Current Firm

CARROLL INVESTORS, INC.

CRD#: 311180 / SEC#: 801-119870

RIA

Registered Investment Advisory firm - (11/30/2020 Approved)

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

1036 Lansing Dr Suite 102, Mt Pleasant, SC 29464

Mailing Address

Phone number

(843) 352-4963

Established

Firm type

Fiscal year end

# of Employees

SEC notice filing (4 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)

Latest Form ADV

Part 2 Brochures

CARROLL INVESTORS, INC. ADV BROCHURE (3/19/2025)

Regulatory assets under management

Total Number of Accounts	305
AUM (Assets Under Management)	$ 213,328,684

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.

Similar Advisors

Jackson Tiller

NYLIFE SECURITIES LLC

CHARLESTON, SC

Jeremy Ellisor

CONVERGENT FINANCIAL GROUP

IAR

Mount Pleasant, SC

Roger Johnson

ACT ADVISORS

IAR

Mt. Pleasant, SC

We're Here To Help

Advisor Monitoring

Firm Stability Insights

Stephen D. Carroll

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

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

Certified licenses

Experience

RAYMOND JAMES & ASSOCIATES, INC.

RAYMOND JAMES & ASSOCIATES, INC.

MORGAN KEEGAN & COMPANY, LLC

MORGAN KEEGAN & COMPANY, LLC

UBS FINANCIAL SERVICES INC.

UBS FINANCIAL SERVICES INC.

WELLS FARGO CLEARING SERVICES, LLC

WACHOVIA SECURITIES, INC.

Primary Firm SEC Registration

CARROLL INVESTORS, INC.

State Registrations and Notice Filings

Exams

Series 65

Date: 8/12/1997

Series 63

Date: 12/31/1996

SIE

Date: 10/1/2018

Series 7

Date: 12/13/1996

Current Firm

CARROLL INVESTORS, INC.

Contact information

SEC notice filing (4 States and Territories)

Documents

Part 2 Brochures

Regulatory assets under management

Red Flags

Company Information

CARROLL INVESTORS, INC.

TRUST BUT VERIFY

Similar Advisors