Kevin J. Carroll

FIDUCIARY CAPITAL MANAGEMENT

Marlborough , CT

CRD#: 3124942

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Professional summary

Kevin Joseph Carroll is a registered financial advisor currently at FIDUCIARY CAPITAL MANAGEMENT LLC located in Marlborough , Connecticut.

Kevin is registered as an IAR (Investment Advisor Representative) and started their career in finance in 1999. Kevin has worked at 10 firms and has passed the Series 66, SIE, Series 7 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.

The advisor shows no other business activity.

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Kevin Joseph 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

June 12, 2026 - Present

FIDUCIARY CAPITAL MANAGEMENT LLC

RIA

CRD#: 340618

Marlborough , CT

Past

September 14, 2021 - March 30, 2022

BUELL INVESTMENT ADVISORS

RIA

CRD#: 173423

GLASTONBURY, CT

Past

September 13, 2021 - March 30, 2022

BUELL SECURITIES CORP.

CRD#: 1342

GLASTONBURY, CT

Past

February 15, 2019 - August 20, 2021

LPL FINANCIAL LLC

RIA

CRD#: 6413

GLASTONBURY, CT

Past

February 15, 2019 - August 20, 2021

LPL FINANCIAL LLC

CRD#: 6413

GLASTONBURY, CT

Past

November 7, 2014 - February 20, 2019

WELLS FARGO CLEARING SERVICES, LLC

RIA

CRD#: 19616

GLASTONBURY, CT

Past

November 7, 2014 - February 20, 2019

WELLS FARGO CLEARING SERVICES, LLC

CRD#: 19616

GLASTONBURY, CT

Past

September 30, 2008 - November 11, 2014

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

RIA

CRD#: 7691

GLASTONBURY, CT

Past

September 30, 2008 - November 11, 2014

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

CRD#: 7691

GLASTONBURY, CT

Past

November 16, 2007 - October 16, 2008

CITIGROUP GLOBAL MARKETS INC.

RIA

CRD#: 7059

SO WINDSOR, CT

Past

November 16, 2007 - October 16, 2008

CITIGROUP GLOBAL MARKETS INC.

CRD#: 7059

AVON, CT

Past

October 20, 2004 - November 20, 2007

BANC OF AMERICA INVESTMENT SERVICES, INC.

RIA

CRD#: 16361

GLASTONBURY, CT

Past

October 20, 2004 - November 20, 2007

BANC OF AMERICA INVESTMENT SERVICES, INC.

CRD#: 16361

GLASTONBURY, CT

Past

August 28, 2002 - October 20, 2004

QUICK & REILLY, INC.

RIA

CRD#: 11217

GLASTONBURY, CT

Past

February 7, 2001 - October 20, 2004

QUICK & REILLY, INC.

CRD#: 11217

NEW YORK, NY

Past

February 26, 1999 - February 14, 2001

ADVEST, INC.

CRD#: 10

HARTFORD, CT

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

Connecticut
(6/12/2026)

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: 1/24/2001

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: 2/24/1999

General Securities Representative Examination

Principal/Supervisory Exam

Series 24

Date: 9/17/2002

General Securities Principal Examination

Current Firm

FIDUCIARY CAPITAL MANAGEMENT LLC

FIDUCIARY CAPITAL MANAGEMENT LLC | FIDUCIARY CM

CRD#: 340618 / SEC#: 801-135523

RIA

Registered Investment Advisory firm - (3/12/2026 120-Day Approval)

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Contact information

Main Address

1621 Central Ave, Cheyenne, WY 82001

Mailing Address

Phone number

(503) 515-1313

Established

Firm type

Fiscal year end

# of Employees

SEC notice filing (6 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)

Latest Form ADV

Part 2 Brochures

FIDUCIARY CAPITAL MANAGEMENT LLC (2/8/2026)

Regulatory assets under management

Total Number of Accounts	1
AUM (Assets Under Management)	$ 5,000

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.

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Advisor Monitoring

Firm Stability Insights

Kevin J. Carroll

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Kevin Joseph Carroll's CRS (Customer Relationship Summary).

Certified licenses

Experience

BUELL INVESTMENT ADVISORS

BUELL SECURITIES CORP.

LPL FINANCIAL LLC

LPL FINANCIAL LLC

WELLS FARGO CLEARING SERVICES, LLC

WELLS FARGO CLEARING SERVICES, LLC

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

CITIGROUP GLOBAL MARKETS INC.

CITIGROUP GLOBAL MARKETS INC.

BANC OF AMERICA INVESTMENT SERVICES, INC.

BANC OF AMERICA INVESTMENT SERVICES, INC.

QUICK & REILLY, INC.

QUICK & REILLY, INC.

ADVEST, INC.

State Registrations and Notice Filings

Exams

Series 66

Date: 1/24/2001

SIE

Date: 10/1/2018

Series 7

Date: 2/24/1999

Series 24

Date: 9/17/2002

Current Firm

FIDUCIARY CAPITAL MANAGEMENT LLC

Contact information

SEC notice filing (6 States and Territories)

Documents

Part 2 Brochures

Regulatory assets under management

Red Flags

Company Information

FIDUCIARY CAPITAL MANAGEMENT LLC

TRUST BUT VERIFY

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