Kevin J. Carroll
Professional summary
Being a previously registered professional could mean that this person is no longer operating under the supervision of the SEC or FINRA.
That means that the Securities and Exchange Commission may not be able to oversee the services that this specific professional is providing.
Kevin Joseph Carroll was a registered financial professional .
Kevin is a previously registered financial professional and started their career in finance in 1999. Kevin had worked at 9 firms and has passed the Series 66, SIE, Series 7 and Series 24 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
September 14, 2021 - March 30, 2022
BUELL INVESTMENT ADVISORS
September 13, 2021 - March 30, 2022
BUELL SECURITIES CORP.
February 15, 2019 - August 20, 2021
LPL FINANCIAL LLC
February 15, 2019 - August 20, 2021
LPL FINANCIAL LLC
November 7, 2014 - February 20, 2019
WELLS FARGO CLEARING SERVICES, LLC
November 7, 2014 - February 20, 2019
WELLS FARGO CLEARING SERVICES, LLC
September 30, 2008 - November 11, 2014
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
September 30, 2008 - November 11, 2014
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
November 16, 2007 - October 16, 2008
CITIGROUP GLOBAL MARKETS INC.
November 16, 2007 - October 16, 2008
CITIGROUP GLOBAL MARKETS INC.
October 20, 2004 - November 20, 2007
BANC OF AMERICA INVESTMENT SERVICES, INC.
October 20, 2004 - November 20, 2007
BANC OF AMERICA INVESTMENT SERVICES, INC.
August 28, 2002 - October 20, 2004
QUICK & REILLY, INC.
February 7, 2001 - October 20, 2004
QUICK & REILLY, INC.
February 26, 1999 - February 14, 2001
ADVEST, INC.
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
Visual representation of state registrations
Exams
Current Firm
BUELL INVESTMENT ADVISORS
CRD#: 173423 / SEC#:
Contact information
Regulatory assets under management
| Total Number of Accounts | 106 |
| AUM (Assets Under Management) | $ 35,152,939 |
Red Flags
Disclosures can be potential red flags, including customer disputes, regulatory fines, employer terminations, bankruptcies, judgments, liens, or certain criminal activities.
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