KC
Kevin T. Carroll
EATON VANCE DISTRIBUTORS
BOSTON, MA 02109
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CRD#: 4248545
KC
Professional summary
Kevin Thomas Carroll, who also goes by Kevin Thomas Carroll, is a registered financial professional currently at EATON VANCE DISTRIBUTORS, INC. located in Boston, Massachusetts.
Kevin is registered as a RR (Registered Representative) and started their career in finance in 2004. Kevin has worked at 10 firms and has passed the Series 65, Series 63, SIE, Series 3 and Series 7 exams.
Question & Answer
Are you a "fiduciary"?
No
Aliases
Kevin Thomas 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.
The advisor shows no other business activity.
CRS (Client Relationship Summary) - BD
Click below to view Kevin Thomas 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
August 28, 2025 - Present
EATON VANCE DISTRIBUTORS, INC.
Office #1: One Post Office Square, Boston, MA 02109BD
CRD#: 37731
BOSTON, MA
Past
March 21, 2025 - July 8, 2025
OLD CITY SECURITIES LLC
BD
CRD#: 171910
NEW YORK, NY
Past
November 7, 2014 - October 3, 2024
TCW INVESTMENT MANAGEMENT COMPANY LLC
RIA
CRD#: 106546
CHICAGO, IL
Past
November 6, 2014 - October 3, 2024
TCW FUNDS DISTRIBUTORS LLC
BD
CRD#: 16670
Chicago, IL
Past
January 23, 2012 - October 13, 2014
NUVEEN ASSET MANAGEMENT, LLC
RIA
CRD#: 155584
CHICAGO, IL
Past
December 5, 2011 - October 13, 2014
NUVEEN SECURITIES, LLC
BD
CRD#: 469
CHICAGO, IL
Past
December 13, 2010 - December 31, 2010
AGINCOURT, LTD.
BD
CRD#: 36661
PEMBROKE,
Past
September 22, 2008 - November 20, 2008
BARCLAYS CAPITAL INC.
BD
CRD#: 19714
CHICAGO, IL
Past
November 7, 2005 - September 22, 2008
LEHMAN BROTHERS INC.
BD
CRD#: 7506
CHICAGO, IL
Past
September 10, 2004 - October 21, 2005
ROSENTHAL GLOBAL SECURITIES LLC
BD
CRD#: 19721
CHICAGO, IL
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
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
Alabama(8/28/2025)
RR
Alaska(8/28/2025)
RR
Arizona(8/28/2025)
RR
Arkansas(8/28/2025)
RR
California(8/28/2025)
RR
Colorado(8/28/2025)
RR
Connecticut(8/28/2025)
RR
Delaware(8/28/2025)
RR
District of Columbia(8/28/2025)
RR
Florida(8/28/2025)
RR
Georgia(8/28/2025)
RR
Hawaii(8/28/2025)
RR
Idaho(8/28/2025)
RR
Illinois(8/28/2025)
RR
Indiana(8/28/2025)
RR
Iowa(8/28/2025)
RR
Kansas(8/28/2025)
RR
Kentucky(8/28/2025)
RR
Louisiana(8/28/2025)
RR
Maine(8/28/2025)
RR
Maryland(8/28/2025)
RR
Massachusetts(8/28/2025)
RR
Michigan(8/28/2025)
RR
Minnesota(8/28/2025)
RR
Mississippi(8/28/2025)
RR
Missouri(8/28/2025)
RR
Montana(8/28/2025)
RR
Nebraska(8/28/2025)
RR
Nevada(8/28/2025)
RR
New Hampshire(8/28/2025)
RR
New Jersey(8/28/2025)
RR
New Mexico(8/28/2025)
RR
New York(8/28/2025)
RR
North Carolina(8/28/2025)
RR
North Dakota(8/28/2025)
RR
Ohio(8/28/2025)
RR
Oklahoma(8/28/2025)
RR
Oregon(8/28/2025)
RR
Pennsylvania(8/28/2025)
RR
Puerto Rico(8/28/2025)
RR
Rhode Island(8/28/2025)
RR
South Carolina(8/28/2025)
RR
South Dakota(8/28/2025)
RR
Tennessee(8/28/2025)
RR
Texas(8/28/2025)
RR
Utah(8/28/2025)
RR
Vermont(8/28/2025)
RR
Virgin Islands(8/28/2025)
RR
Virginia(8/28/2025)
RR
Washington(8/28/2025)
RR
West Virginia(8/28/2025)
RR
Wisconsin(8/28/2025)
RR
Wyoming(8/28/2025)
Exams
State Security Law Exam
State Security Law Exam
General Industry/Product Exam
General Industry/Product Exam
General Industry/Product Exam
SRO Registrations
RR
FINRA
Current Firm
EV
EATON VANCE DISTRIBUTORS, INC.
EATON VANCE DISTRIBUTORS, INC. | EV DISTRIBUTORS, INC. | EATON VANCE DISTRIBUTORS, INC.
CRD#: 37731 / SEC#: , 8-47939
BD
Broker-Dealer Firm Regulated by FINRA (Boston district office)
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Contact information
Main Address
One Post Office Square, Boston, MA 02109
Mailing Address
1300 Thames Street C/o Shared Services Compliance - Registration, Baltimore, MD 21231
Phone number
(617) 482-8260
Established
Massachusetts since 07/15/1994
Firm type
Corporation
Fiscal year end
December
Firm Size
Medium
# of Employees
FINRA licenses (53 States and Territories)
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| MORGAN STANLEY CAPITAL MANAGEMENT, LLC | SHAREHOLDER | |
| FAHEY, LAWRENCE LOUIS | PRINCIPAL OPERATIONS OFFICER | 2097212 |
| FAMIGLIETTI, FRANK J | DIRECTOR | 2702269 |
| KASETA, LYNN M | CHIEF COMPLIANCE OFFICER | 6451373 |
| KUSH, ANTHONY N | PRINCIPAL FINANCIAL OFFICER, AND, FINANCIAL AND OPERATIONS PRINCIPAL OFFICER | 7463692 |
| LEFEVRE, BENJAMIN WILLIAM | TEXAS DESIGNATED PRINCIPAL | 2261749 |
| LEIMENSTOLL, ANDREW JOHN | DIRECTOR | 4640636 |
| MICHAUD, DAVID ANDREW | DIRECTOR | 2730645 |
| WITKOS, MATTHEW JOSEPH | PRESIDENT, CEO, AND DIRECTOR | 2034689 |
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.
Company Information
EATON VANCE DISTRIBUTORS, INC.
CRD#: 37731Boston, MA 02109TRUST BUT VERIFY
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