Steven R. Pickard

CARSWELL INVESTMENTS

Daniel Island, SC 29492

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CRD#: 4556595

Professional summary

Steven Roger Pickard, CFP® is a registered financial advisor currently at CARSWELL INVESTMENTS, LLC located in Daniel Island, South Carolina.

Steven is registered as an IAR (Investment Advisor Representative) and started their career in finance in 2002. Steven has worked at 5 firms and has passed the Series 65, Series 66, Series 7 and Series 24 exams.

Question & Answer

Are you a "fiduciary"?

Yes

Aliases

None

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.

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Steven Roger Pickard's CRS (Customer Relationship Summary).

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®

CFP^®

Certified Financial Planner

Start date: 2022

Experience

Current

January 10, 2012 - Present

CARSWELL INVESTMENTS, LLC

Office #1: 245 Seven Farms Drive, Suite 300a, Daniel Island, SC 29492

RIA

CRD#: 158205

Daniel Island, SC

Past

June 8, 2007 - August 29, 2011

PINNACLE INVESTMENTS, LLC

CRD#: 142910

SYRACUSE, NY

Past

May 3, 2004 - June 27, 2007

PINNACLE INVESTMENTS, INC.

CRD#: 40686

EAST SYRACUSE, NY

Past

August 29, 2003 - May 3, 2004

MORGAN STANLEY DW INC.

CRD#: 7556

PURCHASE, NY

Past

August 29, 2002 - September 4, 2003

A. G. EDWARDS & SONS, INC.

CRD#: 4

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".

CARSWELL INVESTMENTS, LLC

CRD#: 158205 / SEC#: 801-72455

RIA

Registered Investment Advisory firm - (6/15/2011 Approved)

State Registrations and Notice Filings

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

IAR

means the advisor is registered as an Investment Advisor Representative in this state and is authorized to provide investment advice to clients there.

Highlighted states indicate IAR registrations

IAR

South Carolina
(8/17/2020)

IAR

Texas
(1/10/2012)

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: 12/23/2011

Uniform Investment Adviser Law Examination

State Security Law Exam

IAR

Series 66

Date: 9/6/2002

Uniform Combined State Law Examination

General Industry/Product Exam

Series 7

Date: 8/28/2002

General Securities Representative Examination

Principal/Supervisory Exam

Series 24

Date: 4/9/2010

General Securities Principal Examination

Current Firm

CARSWELL INVESTMENTS, LLC

CRD#: 158205 / SEC#: 801-72455

RIA

Registered Investment Advisory firm - (6/15/2011 Approved)

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Contact information

Main Address

6320 Fly Road, Suite 205, East Syracuse, NY 13057

Mailing Address

245 Seven Farms Drive, Suite 300a, Daniel Island, SC 29492

Phone number

(800) 510-6693

Established

Firm type

Fiscal year end

# of Employees

SEC notice filing (5 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)

Latest Form ADV

Part 2 Brochures

CARSWELL INVESTMENTS, LLC FORM ADV PART 2A & B - MARCH 27, 2025 (3/27/2025)

Regulatory assets under management

Total Number of Accounts	549
AUM (Assets Under Management)	$ 284,584,008

Red Flags

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Check for any disclosures as part of your thorough research when choosing an advisor.

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Firm Stability Insights

Steven R. Pickard

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Steven Roger Pickard's CRS (Customer Relationship Summary).

Certified licenses

Experience

PINNACLE INVESTMENTS, LLC

PINNACLE INVESTMENTS, INC.

MORGAN STANLEY DW INC.

A. G. EDWARDS & SONS, INC.

Primary Firm SEC Registration

CARSWELL INVESTMENTS, LLC

State Registrations and Notice Filings

Exams

Series 65

Date: 12/23/2011

Series 66

Date: 9/6/2002

Series 7

Date: 8/28/2002

Series 24

Date: 4/9/2010

Current Firm

CARSWELL INVESTMENTS, LLC

Contact information

SEC notice filing (5 States and Territories)

Documents

Part 2 Brochures

Regulatory assets under management

Red Flags

Company Information

CARSWELL INVESTMENTS, LLC

TRUST BUT VERIFY

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