Carol E. Bell
LPL ENTERPRISE
KEAAU, HI
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CRD#: 5356288
Professional summary
Carol E Bell, CFP®, who also goes by Carol E Bell, Carol Elaine Stern, is a registered financial advisor currently at LPL ENTERPRISE, LLC located in Keaau, Hawaii.
Carol is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 2007. Carol has worked at 7 firms and has passed the Series 63, Series 66, Series 7TO, Series 6TO, SIE, Series 7 and Series 6 exams.
Question & Answer
What are your service offerings?
Life Transitions
Inheritance
Small Business Planning
Retirement Income Management
Social Security Planning
Investment Planning
Budgeting
Estate Planning
Comprehensive Financial Planni...
Socially Responsible Investing
Retirement Planning
Do you have an area of expertise or specialization?
Estate & Generational Planning...
Financial Psychology/Coaching
Investment Advice with Ongoing...
Retirement Planning & Distribu...
Socially Responsible Investmen...
Women's Financial Planning Iss...
What is your minimum asset requirement?
100K
Are you a "fiduciary"?
Yes
Aliases
Carol E Bell | Carol Elaine Stern
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.
1) 11/14/2024- American College of Financial Services- Teacher Paid by School or University- Teaching undergraduate-level courses in the CLU program.- not inv. related- at King of Prussia, PA- start date 06/11/2024- 4hrs/mnth-4hrs during trading 2) 11/14/2024- NYU School of Professional Studies- Teacher Paid by School or University- Teaching graduate-level courses in the Finance and Taxation School of Professional Studies- not inv. related- at New York, NY- start date 09/05/2023- 3hrs/mnth-3hrs during trading 3) 11/14/2024- Cystic Fibrosis Foundation--Arizona Chapter- Non-Profit Board Member- Plan fundraising event, attend board meetings- not inv. related- at Phoenix, AZ- start date 03/24/2022- 10hrs/mnth-0hrs during trading 4) 11/14/2024- Ocean View Business Rental- Real Estate Rental- Owner of a rental real estate property at 92-8358 Tiki Ln, Ocean View, HI 96704- inv. related- at Captain Cook, HI- start date 01/01/2023- 1hr/mnth-0hrs during trading 5) 07/08/2025-Prudential Sponsored Non-Variable Insurance-Non-Variable Insurance/Insurance Agency-Inv related-At reported business location(s)
CRS (Client Relationship Summary) - RIA
Click below to view Carol E Bell's CRS (Customer Relationship Summary).
CRS (Client Relationship Summary) - BD
Click below to view Carol E Bell'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®
CFP®
Start date: 2011
Experience
Current
November 14, 2024 - Present
LPL ENTERPRISE, LLC
Office #2: 184 Kamehameha Ave Ste 190-8, Hilo, HI 96720RIA
BD
CRD#: 8733
KEAAU, HI
Current
November 14, 2024 - Present
LPL ENTERPRISE, LLC
Office #1: 184 Kamehameha Ave Ste 190-8, Hilo, HI 96720RIA
BD
CRD#: 8733
Hilo, HI
Past
June 22, 2023 - November 14, 2024
PRUCO SECURITIES, LLC.
RIA
CRD#: 5685
Hilo, HI
Past
June 22, 2023 - November 14, 2024
PRUCO SECURITIES, LLC.
BD
CRD#: 5685
Hilo, HI
Past
April 16, 2021 - June 16, 2023
BETTER MONEY DECISIONS
RIA
CRD#: 172980
SCOTTSDALE, AZ
Past
April 27, 2016 - April 23, 2021
SCHWAB WEALTH ADVISORY, INC.
RIA
CRD#: 159035
PHOENIX, AZ
Past
April 27, 2016 - April 23, 2021
CHARLES SCHWAB & CO., INC.
BD
CRD#: 5393
Phoenix, AZ
Past
July 11, 2011 - October 28, 2015
VANGUARD ADVISERS, INC.
RIA
CRD#: 106715
SCOTTSDALE, AZ
Past
July 10, 2007 - October 28, 2015
VANGUARD MARKETING CORPORATION
BD
CRD#: 7452
SCOTTSDALE, AZ
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".
LE
LPL ENTERPRISE, LLC
APPALACHIAN INVESTMENT CORPORATION | LPLE | LPL ENTERPRISE, LLC | LPL ENTERPRISE | HARVEST FINANCIAL CORPORATION WILL DO INVESTMENT ADVISORY BUSINESS ONLY IN CALIFORNIA AS HARVEST ADVISORS | HARVEST FINANCIAL CORPORATION
CRD#: 8733 / SEC#: 801-130883, 8-26037
RIA
Registered Investment Advisory firm - SEC (8/7/2024 Approved)California
Registered Investment Advisory firm - SEC (11/29/2020 Terminated)Ohio
Registered Investment Advisory firm - SEC (4/1/2023 Terminated)Pennsylvania
Registered Investment Advisory firm - SEC (4/7/2023 Terminated)BD
Broker-Dealer Firm Regulated by FINRA (Atlanta district office)
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.RR
indicates the advisor is registered as a Registered Representative in this state, allowing them to offer securities such as stocks, bonds, and mutual funds through a broker-dealer.Visual representation of state registrations
RR
Arizona(11/14/2024)
RR
California(11/14/2024)
IAR
California(11/14/2024)
RR
Hawaii(11/14/2024)
IAR
Hawaii(11/14/2024)
RR
Kentucky(9/5/2025)
RR
Oregon(11/14/2024)
RR
Washington(11/14/2024)
Exams
State Security Law Exam
State Security Law Exam
General Industry/Product Exam
RR
Series 7TO
Date: 10/3/2022
General Securities Representative ExaminationGeneral Industry/Product Exam
RR
Series 6TO
Date: 10/3/2022
Investment Company Products/Variable Contracts Representative ExaminationGeneral Industry/Product Exam
General Industry/Product Exam
General Industry/Product Exam
SRO Registrations
RR
FINRA
Current Firm
LE
LPL ENTERPRISE, LLC
APPALACHIAN INVESTMENT CORPORATION | LPLE | LPL ENTERPRISE, LLC | LPL ENTERPRISE | HARVEST FINANCIAL CORPORATION WILL DO INVESTMENT ADVISORY BUSINESS ONLY IN CALIFORNIA AS HARVEST ADVISORS | HARVEST FINANCIAL CORPORATION
CRD#: 8733 / SEC#: 801-130883, 8-26037
RIA
Registered Investment Advisory firm - SEC (8/7/2024 Approved)California
Registered Investment Advisory firm - SEC (11/29/2020 Terminated)Ohio
Registered Investment Advisory firm - SEC (4/1/2023 Terminated)Pennsylvania
Registered Investment Advisory firm - SEC (4/7/2023 Terminated)BD
Broker-Dealer Firm Regulated by FINRA (Atlanta district office)
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Contact information
Main Address
1055 Lpl Way, Fort Mill, SC 29715
Mailing Address
1055 Lpl Way, Fort Mill, SC 29715
Phone number
(704) 733-3300
Established
Delaware since 05/25/2023
Firm type
Limited Liability Company
Fiscal year end
December
Firm Size
Large
# of Employees
4,650
SEC notice filing (53 States and Territories)
FINRA licenses (53 States and Territories)
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| LPL HOLDINGS, INC. | MANAGING MEMBER | |
| HORAN-ADAMS, KIRBY LEPAK | CHIEF EXECUTIVE OFFICER. PRESIDENT | 5097259 |
| MALFITANO, STEVEN THOMAS | PRINCIPAL FINANCIAL OFFICER AND PRINCIPAL OPERATIONS OFFICER, FINOP | 3178848 |
| MORRISON, STEVEN PHILIP | SECRETARY | 4529345 |
| SHEEHAN, RICHARD STEVEN | SVP, CHIEF COMPLIANCE OFFICER | 3096567 |
Regulatory assets under management
| Total Number of Accounts | 114,002 |
| AUM (Assets Under Management) | $ 18,862,098,900 |
Disclosures
| Regulatory Event | 3 |
Accountant surprise examination report
| Filing Date | Form ADV-E Cover | Form ADV-E Report |
|---|---|---|
| 06/25/2025 |
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.
