JC
Jodie M. Carroll
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CRD#: 4555760
JC
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.
Jodie Michael Carroll, who also goes by Michael Carroll, was a registered financial professional .
Jodie is a previously registered financial professional and started their career in finance in 2002. Jodie had worked at 5 firms and has passed the Series 66, SIE and Series 7 exams.
Question & Answer
Are you a "fiduciary"?
No
Aliases
Michael 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.
1) EVANS MILLY INSURANCE AGENCY POSITION: CHECK SIGNER ONLY NATURE: P&C INSURANCE INVESTMENT RELATED: Yes NUMBER OF HOURS: 1 SECURITIES TRADING HOURS: 0 START DATE: 02/01/2007 ADDRESS: Tulsa OK , United States DESCRIPTION: Insurance sales 2) ARKANSAS ECONOMIC DEVELOPMENT COMMISSION POSITION: COMMISSIONER NATURE: Economic Development Commission INVESTMENT RELATED: Yes NUMBER OF HOURS: 10 SECURITIES TRADING HOURS: 2 START DATE: 02/01/2015 ADDRESS: Little Rock AR , United States DESCRIPTION: Attend monthly Commission meetings which are held in various communities around the State of Arkansas. A primary responsibility of the Commission relates to bond guarantees provided by the State of Arkansas 3) 3101 LLC/WEST ELM LLC POSITION: MEMBER/PARTNER, ADMINISTRATIVE DUTIES NATURE: COMMERCIAL REAL ESTATE INVESTMENT RELATED: Yes NUMBER OF HOURS: 1 SECURITIES TRADING HOURS: 1 START DATE: 01/01/1991 ADDRESS: Ft Smith AR 72901, United States DESCRIPTION: Administrative duty 4) EVANS POTEAU FUNERAL HOME POSITION: CHECK SIGNER ONLY NATURE: FUNERAL HOME INVESTMENT RELATED: No NUMBER OF HOURS: 1 SECURITIES TRADING HOURS: 0 START DATE: 02/01/2007 ADDRESS: Poteau OK , United States DESCRIPTION: Check signer 5) ARKANSAS TRANSFORMATION ADVISORY BOARD POSITION: Chairman NATURE: Volunteer, citizen board, designed to provide non-binding strategic advice to the chief transformation officer of the state of AR on how to successfully implement these efficiencies. This board does have authority to vote on any of the efficiences, nor does it assume any legal fiduciary responsibilities. INVESTMENT RELATED: No NUMBER OF HOURS: 10 SECURITIES TRADING HOURS: 10 START DATE: 03/01/2017 ADDRESS: 500 Woodlane St, Ste 238, Little Rock AR 72201, United States DESCRIPTION: Coordinate activities and agenda of the advisory board 6) ARKANSAS SOCIETY OF CERTIFIED PUBLIC ACCOUNTANTS POSITION: Board member and Chair-elect NATURE: Volunteer position on the Board of Directors of the organization thatserves our professional state society of CPA's. I currently serve as the Chair-elect of the board. I will become Board Chair effective 4/1/2018 INVESTMENT RELATED: No NUMBER OF HOURS: 20 SECURITIES TRADING HOURS: 20 START DATE: 01/19/2018 ADDRESS: 11300 Executive Center Drive, Little Rock AR 72211, United States DESCRIPTION: Chair of the Board of Directors of our state professional society of CPA's. Quarterly board meetings. Other board committee meetings also on a quarterly basis. Represent our state Society on the AICPA national council. Will be speaking extensively during my year as board chair to state society chapters around the state of Arkansas. Strictly a volunteer position. No compensation. The state society provides some reimbursement for travel expenses incurred. 7) LANDMARK FINANCIAL, LLC POSITION: Referring Advisor NATURE: Referring Advisor INVESTMENT RELATED: Yes NUMBER OF HOURS: 8 SECURITIES TRADING HOURS: 8 START DATE: 10/01/2018 ADDRESS: 3101 S 70th St, Fort Smith AR 72903, United States DESCRIPTION: Referring Advisor
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®
NoneExperience
Past
October 25, 2019 - December 31, 2022
AVANTAX ADVISORY SERVICES
RIA
CRD#: 104556
IRVING, TX
Past
October 25, 2019 - December 31, 2022
AVANTAX INVESTMENT SERVICES, INC.
BD
CRD#: 13686
FORT SMITH, AR
Past
May 4, 2005 - October 27, 2008
BEALL BARCLAY ADVISORS, LLC
RIA
CRD#: 133278
FORT SMITH, AR
Past
January 10, 2003 - October 25, 2019
1ST GLOBAL ADVISORS INC
RIA
CRD#: 111133
FORT SMITH, AR
Past
August 29, 2002 - October 25, 2019
1ST GLOBAL CAPITAL CORP.
BD
CRD#: 30349
FORT SMITH, AR
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.
Exams
State Security Law Exam
General Industry/Product Exam
General Industry/Product Exam
Current Firm
AA
AVANTAX ADVISORY SERVICES
1ST GLOBAL ADVISORY SERVICES | HD VEST ADVISORY SERVICES | H.D. VEST ADVISORY SERVICES, INC | AVANTAX WEALTH MANAGEMENT | AVANTAX ADVISORY SERVICES, INC. | AVANTAX ADVISORY SERVICES
CRD#: 104556 / SEC#: 801-29892
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Contact information
Main Address
3200 Olympus Blvd Suite 100, Dallas, TX 75019
Mailing Address
Phone number
(972) 870-6000
Established
Firm type
Fiscal year end
# of Employees
2,278
Regulatory assets under management
| Total Number of Accounts | 140,306 |
| AUM (Assets Under Management) | $ 46,109,939,749 |
Accountant surprise examination report
| Filing Date | Form ADV-E Cover | Form ADV-E Report |
|---|---|---|
| 12/13/2024 | ||
| 11/28/2023 | ||
| 12/16/2022 |
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.
