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Jodie Michael Carroll

CRD# 4555760·Registered 2002 - 2022
Previously Registered: Being a previously registered professional could mean that Jodie 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.

Professional Summary

Jodie Michael Carroll, who also goes by Michael Carroll, was a registered financial advisor. Jodie was a previously registered financial professional and started their career in finance 2002 - 2022. Jodie had worked at 5 firms and has passed the Series 66, SIE and Series 7 exams.

At a Glance

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Fiduciary Standard

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Fee Structure

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Account Minimum

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Active Clients

Fiduciary Standard

Fee Structure

Account Minimum

Active Clients

Other Aliases

Michael Carroll

Blog Corner

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Videos & Posts

This advisor has not added any videos or posts yet.

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Contact Information

No current employment

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Disclosures are events reported to regulators, such as customer disputes, regulatory actions, employment separations, or financial events. Some are resolved, denied, or contested — a disclosure is not a verdict. We recommend asking an advisor directly about any disclosure on their record.

Disclosures on record.

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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Years of Experience

24 years in the financial services industry

Current & Past Employments

AVANTAX ADVISORY SERVICES·CRD# 104556
RIA
Irving, TX
October 25, 2019 - December 31, 2022
AVANTAX INVESTMENT SERVICES, INC.·CRD# 13686
BD
Fort Smith, AR
October 25, 2019 - December 31, 2022
BEALL BARCLAY ADVISORS, LLC·CRD# 133278
RIA
Fort Smith, AR
May 4, 2005 - October 27, 2008
1ST GLOBAL ADVISORS INC·CRD# 111133
RIA
Fort Smith, AR
January 10, 2003 - October 25, 2019
1ST GLOBAL CAPITAL CORP.·CRD# 30349
BD
Fort Smith, AR
August 29, 2002 - October 25, 2019

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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

Contact Information

Main Address

3200 Olympus Blvd Suite 100, Dallas, TX 75019

Phone Number

(972) 870-6000

# of Employees

2,278

Documents

Latest Form ADV

Part 2 Brochures

FORM ADV 2A FIRM BROCHURE (3/31/2025)

Regulatory Assets Under Management

Total Number of Accounts

140,306

AUM (Assets Under Management)

$46,109,939,749

Accountant Surprise Examination Report

Filing DateForm ADV-E CoverForm ADV-E Report
12/13/2024Cover PageReport
11/28/2023Cover PageReport

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Other business activities

Information obtained from regulatory filings. Advisors can request corrections through their firm or regulator.

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

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State Registrations and Notice Filings

Listed states reflect where the advisor is authorized to serve clients under state regulations.
This advisor is not registered in any state.

Exams

Financial professionals may take different exams throughout their careers based on the types of services they provide and roles they perform.

Series 66 — Uniform Combined State Law Examination

Passed Oct 2002About the Series 66 exam

SIE — Securities Industry Essentials Examination

Passed Oct 2018About the SIE exam

Series 7 — General Securities Representative Examination

Passed Aug 2002About the Series 7 exam

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CRS (Client Relationship Summary)

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

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