Carroll M. Macgowan

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CRD#: 5035450

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.

Carroll Morrill Macgowan III, CFA, who also goes by C.m. Macgowan, Carroll Morrill Macgowan, was a registered financial professional .

Carroll is a previously registered financial professional and started their career in finance in 2006. Carroll had worked at 6 firms and has passed the Series 66 and Series 7 exams.

Question & Answer

Are you a "fiduciary"?

Aliases

C.m. Macgowan | Carroll Morrill Macgowan

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)

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®

CRD#: 7059

PORTSMOUTH, NH

Past

February 21, 2006 - November 10, 2006

AMERIPRISE FINANCIAL SERVICES, LLC

RIA

CRD#: 6363

PORTSMOUTH, NH

Past

February 21, 2006 - November 10, 2006

AMERIPRISE FINANCIAL SERVICES, LLC

CRD#: 6363

PORTSMOUTH, NH

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".

CRESTWOOD ADVISORS

CRESTWOOD ADVISORS | CRESTWOOD ADVISORS GROUP, LLC

CRD#: 286243 / SEC#: 801-108983

RIA

Registered Investment Advisory firm - (1/1/2017 Approved)

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.

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: 12/14/2005

Uniform Combined State Law Examination

General Industry/Product Exam

Series 7

Date: 2/20/2006

General Securities Representative Examination

Current Firm

CRESTWOOD ADVISORS

CRESTWOOD ADVISORS | CRESTWOOD ADVISORS GROUP, LLC

CRD#: 286243 / SEC#: 801-108983

RIA

Registered Investment Advisory firm - (1/1/2017 Approved)

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Contact information

Main Address

One Liberty Square Suite 500, Boston, MA 02109

Mailing Address

Phone number

(617) 523-8880

Established

Firm type

Fiscal year end

# of Employees

SEC notice filing (30 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)

Latest Form ADV

Part 2 Brochures

CRESTWOOD ADVISORS ADV 2A BROCHURE (3/25/2025)

Regulatory assets under management

Total Number of Accounts	5,862
AUM (Assets Under Management)	$ 7,015,988,190

Accountant surprise examination report

Filing Date	Form ADV-E Cover	Form ADV-E Report
08/11/2025	Cover Page	Report
06/20/2024	Cover Page	Report

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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Carroll M. Macgowan

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary)

Certified licenses

Experience

ARCH WEALTH ADVISERS, LLC

MFA ASSET MANAGEMENT, LLC

ROPES WEALTH ADVISORS

CITIGROUP GLOBAL MARKETS INC.

CITIGROUP GLOBAL MARKETS INC.

AMERIPRISE FINANCIAL SERVICES, LLC

AMERIPRISE FINANCIAL SERVICES, LLC

Primary Firm SEC Registration

CRESTWOOD ADVISORS

State Registrations and Notice Filings

Exams

Series 66

Date: 12/14/2005

Series 7

Date: 2/20/2006

Current Firm

CRESTWOOD ADVISORS

Contact information

SEC notice filing (30 States and Territories)

Documents

Part 2 Brochures

Regulatory assets under management

Accountant surprise examination report

Red Flags

Company Information

CRESTWOOD ADVISORS

TRUST BUT VERIFY

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