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Michelle L. Carroll

AUGUSTAR DISTRIBUTORS
Cincinnati, OH 45242
Some features on this profile are disabled
CRD#: 5070062
MC

Professional summary

Michelle Lynn Carroll, who also goes by Michelle Carroll, Michelle Lynn Schmitz, is a registered financial professional currently at AUGUSTAR DISTRIBUTORS, INC. located in Cincinnati, Ohio.

Michelle is registered as a RR (Registered Representative) and started their career in finance in 2011. Michelle has worked at 2 firms and has passed the SIE and Series 6 exams.

top-8-questions

Question & Answer

Are you a "fiduciary"?
No

Aliases

Michelle Carroll | Michelle Lynn Schmitz

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) - BD

Click below to view Michelle Lynn Carroll's 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

August 21, 2025 - Present

AUGUSTAR DISTRIBUTORS, INC.

Office #1: One Financial Way, Cincinnati, OH 45242
BD
CRD#: 41081
Cincinnati, OH
Past

July 7, 2011 - September 6, 2023

JACKSON NATIONAL LIFE DISTRIBUTORS LLC

BD
CRD#: 40178
LANSING, MI

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

General Industry/Product Exam
RR
SIE
Date: 10/1/2018
Securities Industry Essentials Examination
General Industry/Product Exam
RR
Series 6
Date: 7/6/2011
Investment Company Products/Variable Contracts Representative Examination
SRO Registrations
RR
FINRA

Current Firm

AD
AUGUSTAR DISTRIBUTORS, INC.
AUGUSTAR DISTRIBUTORS, INC. | OHIO NATIONAL EQUITIES, INC.

CRD#: 41081 / SEC#: , 8-49296

BD
Broker-Dealer Firm Regulated by FINRA (Chicago district office)
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Contact information

Main Address
One Financial Way, Cincinnati, OH 45242
Mailing Address
P.o. Box 237, Cincinnati, OH 45201-0371
Phone number
(513) 797-3443
Established
Ohio since 01/17/1996
Firm type
Corporation
Fiscal year end
December
Firm Size
Small
# of Employees

FINRA licenses (42 States and Territories)

Blank US states mapAlaskaHawaiiAlabamaArkansasArizonaCaliforniaColoradoConnecticutDelawareFloridaGeorgiaIowaIdahoIllinoisIndianaKansasKentuckyLouisianaMassachusettsMarylandMaineMichiganMinnesotaMissouriMississippiMontanaNorth CarolinaNorth DakotaNebraskaNew HampshireNew JerseyNew MexicoNevadaNew YorkOhioOklahomaOregonPennsylvaniaRhode IslandSouth CarolinaSouth DakotaTennesseeTexasUtahVirginiaVermontWisconsinWest VirginiaWyoming

Documents

Direct owners and executive officers

NamePositionCRD#
CONSTELLATION INSURANCE, INC.PARENT COMPANY
JACK, CLIFFORD JAMESDIRECTOR1398005
SOCOL, MARC ALLANPRESIDENT & DIRECTOR2761094
VANHOY, ANDREW JOSEPHDIRECTOR & CHIEF COMPLIANCE OFFICER3012299

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.

Company Information

AUGUSTAR DISTRIBUTORS, INC.

CRD#: 41081Cincinnati, OH 45242

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