Julie D. Carroll

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CRD#: 4016528

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.

Julie Dixon Carroll, who also goes by Julie Dixon Abernathy, Julie Carol Carroll, Julie Carol Dixon, was a registered financial professional .

Julie is a previously registered financial professional and started their career in finance in 2002. Julie had worked at 8 firms and has passed the Series 65, Series 63, SIE and Series 7 exams.

Question & Answer

Are you a "fiduciary"?

Aliases

Julie Dixon Abernathy | Julie Carol Carroll | Julie Carol Dixon

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. NAME OF OTHER BUSINESS: FIXED INSURANCE WITH VARIOUS COMPANIES; INVESTMENT RELATED: YES; ADDRESS: SAME AS REGISTERED LOCATION; NATURE OF BUSINESS: FIXED INSURANCE; START DATE: 03/2005; APX NUMBER OF HOURS PER WEEK: 2; APX NUMBER OF HOURS DURING TRADING HOURS: 2; POSITION/TITLE/RELATIONSHIP: INSURANCE AGENT; BRIEF DESCRIPTION OF DUTIES: SELLS LIFE, DISABILITY, ANNUITIES; 2. NAME OF OTHER BUSINESS: BETTY AND KEN ISAAC FOUNDATION; INVESTMENT RELATED: NO; ADDRESS: NEWTON, NC 28658; NATURE OF BUSINESS: FOUNDATION; START DATE: 04/1994; POSITION/TITLE/RELATIONSHIP: PRESIDENT; APX NUMBER OF HOURS PER WEEK: LESS THAN 1; APX NUMBER OF HOURS DURING TRADING HOURS: NONE; BRIEF DESCRIPTION OF DUTIES: HOLDING BOARD MEETINGS AND PROVIDING INFORMATION NEEDING TO BE DISCUSSED. MAKING SURE TREASURER AND SECRETARY ARE FULFILLING THEIR DUTIES; 3. NAME OF OTHER BUSINESS: TAR HEEL WEALTH MGMT, LLC; INVESTMENT RELATED: YES; ADDRESS: SAME AS REGISTERED LOCATION; NATURE OF BUSINESS: MARKETING NAME / DBA FOR FINANCIAL SERVICES; START DATE: 07/2006; POSITION/TITLE/RELATIONSHIP: CO-OWNER/FINANCIAL ADVISOR; APX NUMBER OF HOURS PER WEEK: 40; APX NUMBER OF HOURS DURING TRADING HOURS: 32; BRIEF DESCRIPTION OF DUTIES: HR ADMINISTRATIVE DUTIES AS WELL AS PRACTICING FINANCIAL ADVISOR; 4. NAME OF OTHER BUSINESS: NOTARY; INVESTMENT RELATED: NO; ADDRESS: SAME AS REGISTERED LOCATION; NATURE OF BUSINESS: NOTARY; START DATE: 9/2023; POSITION/TITLE/RELATIONSHIP: NOTARY PUBLIC; APX NUMBER OF HOURS PER WEEK: 1; APX NUMBER OF HOURS DURING TRADING HOURS: 1; BRIEF DESCRIPTION OF DUTIES: NOTARIZE DOCUMENTS AS NEEDED;

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CRS (Client Relationship Summary)

The CRS(Customer Relationship Summary) document is not provided.

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

Past

September 5, 2023 - December 31, 2024

CETERA INVESTMENT ADVISERS LLC

RIA

CRD#: 105644

Hickory, NC

Past

September 5, 2023 - December 31, 2024

CETERA WEALTH SERVICES, LLC

CRD#: 13572

HICKORY, NC

Past

April 4, 2022 - September 7, 2023

SECURITIES AMERICA ADVISORS, INC.

RIA

CRD#: 110518

HICKORY, NC

Past

July 17, 2020 - September 7, 2023

SECURITIES AMERICA, INC.

CRD#: 10205

Hickory, NC

Past

December 15, 2017 - July 17, 2020

INVESTACORP, INC.

CRD#: 7684

Hickory, NC

Past

April 30, 2010 - December 19, 2017

WOODBURY FINANCIAL SERVICES, INC.

CRD#: 421

HICKORY, NC

Past

October 24, 2005 - May 5, 2010

CETERA WEALTH SERVICES, LLC

CRD#: 13572

HICKORY, NC

Past

August 1, 2003 - October 24, 2005

BLUE VASE SECURITIES, LLC

CRD#: 46765

WASHINGTON, PA

Past

August 19, 2002 - August 14, 2003

WELLS FARGO CLEARING SERVICES, LLC

CRD#: 19616

ST. LOUIS, MO

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".

CETERA INVESTMENT ADVISERS LLC

CRD#: 105644 / SEC#: 801-20406

RIA

Registered Investment Advisory firm - (1/13/1984 Approved)

State Registrations and Notice Filings

Listed states reflect where the advisor is authorized to serve clients under state regulations.

Visual representation of state registrations

This advisor is not registered in any state.

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: 3/31/2022

Uniform Investment Adviser Law Examination

State Security Law Exam

Series 63

Date: 3/24/2003

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: 8/16/2002

General Securities Representative Examination

Current Firm

CETERA INVESTMENT ADVISERS LLC

CRD#: 105644 / SEC#: 801-20406

RIA

Registered Investment Advisory firm - (1/13/1984 Approved)

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Contact information

Main Address

1450 American Lane 6th Floor, Suite 650, Schaumburg, IL 60173-2096

Mailing Address

Phone number

(310) 257-7880

Established

Firm type

Fiscal year end

# of Employees

7,705

SEC notice filing (53 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)

Latest Form ADV

Regulatory assets under management

Total Number of Accounts	584,487
AUM (Assets Under Management)	$ 163,792,814,520

Accountant surprise examination report

Filing Date	Form ADV-E Cover	Form ADV-E Report
10/27/2025	Cover Page	Report
12/13/2024	Cover Page	Report
09/26/2023	Cover Page	Report
11/18/2022	Cover Page	Report

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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Firm Stability Insights

Julie D. Carroll

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary)

Certified licenses

Experience

CETERA WEALTH SERVICES, LLC

SECURITIES AMERICA ADVISORS, INC.

SECURITIES AMERICA, INC.

INVESTACORP, INC.

WOODBURY FINANCIAL SERVICES, INC.

CETERA WEALTH SERVICES, LLC

BLUE VASE SECURITIES, LLC

WELLS FARGO CLEARING SERVICES, LLC

Primary Firm SEC Registration

CETERA INVESTMENT ADVISERS LLC

State Registrations and Notice Filings

Exams

Series 65

Date: 3/31/2022

Series 63

Date: 3/24/2003

SIE

Date: 10/1/2018

Series 7

Date: 8/16/2002

Current Firm

CETERA INVESTMENT ADVISERS LLC

Contact information

SEC notice filing (53 States and Territories)

Documents

Regulatory assets under management

Accountant surprise examination report

Red Flags

Company Information

CETERA INVESTMENT ADVISERS LLC

TRUST BUT VERIFY

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