Carrie K. Carr

ARIA WEALTH MANAGEMENT

Little Rock, AR 72211

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CRD#: 4659962

Professional summary

Carrie Katherine Carr is a registered financial advisor currently at ARIA WEALTH MANAGEMENT located in Little Rock, Arkansas.

Carrie is registered as an IAR (Investment Advisor Representative) and started their career in finance in 2003. Carrie has worked at 4 firms and has passed the Series 66, Series 63 and Series 7 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 Carrie Katherine Carr'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®

None

Experience

Current

July 27, 2017 - Present

ARIA WEALTH MANAGEMENT

Office #1: 650 S. Shackleford Road Suite 400, Little Rock, AR 72211

RIA

CRD#: 288450

Little Rock, AR

Past

February 3, 2010 - December 31, 2017

CONCERT WEALTH MANAGEMENT

RIA

CRD#: 141253

LITTLE ROCK, AR

Past

March 8, 2008 - February 4, 2010

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

RIA

CRD#: 7691

LITTLE ROCK, AR

Past

January 22, 2008 - February 4, 2010

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

CRD#: 7691

LITTLE ROCK, AR

Past

November 19, 2003 - December 20, 2007

STEPHENS

CRD#: 3496

LITTLE ROCK, AR

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".

ARIA WEALTH MANAGEMENT

ARIA WEALTH MANAGEMENT | SAGE WEALTH MANAGEMENT | FORTRESS RETIREMENT GROUP | ARIA WEALTH MANAGEMENT, INC.

CRD#: 288450 / SEC#: 801-110703

RIA

Registered Investment Advisory firm - (7/5/2017 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

Arkansas
(7/27/2017)

IAR

Texas
(11/22/2019)

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 66

Date: 3/4/2008

Uniform Combined State Law Examination

State Security Law Exam

Series 63

Date: 12/4/2003

Uniform Securities Agent State Law Examination

General Industry/Product Exam

Series 7

Date: 11/18/2003

General Securities Representative Examination

Current Firm

ARIA WEALTH MANAGEMENT

ARIA WEALTH MANAGEMENT | SAGE WEALTH MANAGEMENT | FORTRESS RETIREMENT GROUP | ARIA WEALTH MANAGEMENT, INC.

CRD#: 288450 / SEC#: 801-110703

RIA

Registered Investment Advisory firm - (7/5/2017 Approved)

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Contact information

Main Address

20640 3rd Steet Suite 300, Saratoga, CA 95070

Mailing Address

Phone number

(669) 222-1155

Established

Firm type

Fiscal year end

# of Employees

SEC notice filing (6 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)

Latest Form ADV

Part 2 Brochures

ARIA WEALTH PART 2A BROCHURE (3/31/2025)

Regulatory assets under management

Total Number of Accounts	616
AUM (Assets Under Management)	$ 122,757,930

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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Carrie K. Carr

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Carrie Katherine Carr's CRS (Customer Relationship Summary).

Certified licenses

Experience

ARIA WEALTH MANAGEMENT

CONCERT WEALTH MANAGEMENT

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

STEPHENS

Primary Firm SEC Registration

ARIA WEALTH MANAGEMENT

State Registrations and Notice Filings

Exams

Series 66

Date: 3/4/2008

Series 63

Date: 12/4/2003

Series 7

Date: 11/18/2003

Current Firm

ARIA WEALTH MANAGEMENT

Contact information

SEC notice filing (6 States and Territories)

Documents

Part 2 Brochures

Regulatory assets under management

Red Flags

Company Information

ARIA WEALTH MANAGEMENT

TRUST BUT VERIFY

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