Patrick J. Carroll

MFS INSTITUTIONAL ADVISORS

Atlanta, GA

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CRD#: 5516390

Professional summary

Patrick John Carroll, CIMA® is a registered financial advisor currently at MFS INSTITUTIONAL ADVISORS INC. located in Atlanta, Georgia and MFS FUND DISTRIBUTORS, INC. located in Mclean, Virginia.

Patrick is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 2008. Patrick has worked at 6 firms and has passed the Series 65, Series 63, SIE, Series 7 and Series 6 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 Patrick John Carroll'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®

CIMA^®

Certified Investment Management Analyst

Experience

Current

April 8, 2020 - Present

MFS INSTITUTIONAL ADVISORS INC.

RIA

CRD#: 107144

Atlanta, GA

Current

March 19, 2020 - Present

MFS FUND DISTRIBUTORS, INC.

CRD#: 31052

McLean, VA

Past

February 12, 2015 - March 17, 2020

HARTFORD FUNDS

RIA

CRD#: 147746

Atlanta, GA

Past

April 9, 2014 - December 31, 2014

HARTFORD FUNDS

RIA

CRD#: 147746

ATLANTA, GA

Past

December 3, 2012 - March 17, 2020

HARTFORD FUNDS DISTRIBUTORS, LLC

CRD#: 45995

RADNOR, PA

Past

January 11, 2011 - December 3, 2012

GLOBAL ATLANTIC DISTRIBUTORS, LLC

CRD#: 8326

RADNOR, PA

Past

September 28, 2009 - November 30, 2010

DIRECTED SERVICES LLC

RIA

CRD#: 21675

WEST CHESTER, PA

Past

April 21, 2008 - November 30, 2010

DIRECTED SERVICES LLC

CRD#: 21675

WEST CHESTER, PA

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".

MFS INSTITUTIONAL ADVISORS INC.

CRD#: 107144 / SEC#: 801-46433

RIA

Registered Investment Advisory firm - (5/6/1994 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.

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

Georgia
(3/19/2020)

IAR

Massachusetts
(4/8/2020)

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. Note: This rule does not apply to broker-dealer activity.

Exams

State Security Law Exam

IAR

Series 65

Date: 9/25/2009

Uniform Investment Adviser Law Examination

State Security Law Exam

Series 63

Date: 6/3/2008

Uniform Securities Agent State Law Examination

General Industry/Product Exam

SIE

Date: 10/1/2018

Securities Industry Essentials Examination

General Industry/Product Exam

Series 7

Date: 1/8/2015

General Securities Representative Examination

General Industry/Product Exam

Series 6

Date: 4/18/2008

Investment Company Products/Variable Contracts Representative Examination

SRO Registrations

FINRA

Current Firm

MFS INSTITUTIONAL ADVISORS INC.

CRD#: 107144 / SEC#: 801-46433

RIA

Registered Investment Advisory firm - (5/6/1994 Approved)

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Contact information

Main Address

111 Huntington Avenue, Boston, MA 02199-7618

Mailing Address

Phone number

(617) 954-5000

Established

Firm type

Fiscal year end

# of Employees

1,331

SEC notice filing (53 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)

Latest Form ADV

Part 2 Brochures

MFSI BROCHURE (9/26/2025)

SUMMARY OF MATERIAL CHANGES (3/31/2025)

Regulatory assets under management

Total Number of Accounts	10,260
AUM (Assets Under Management)	$ 111,845,233,320

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

Patrick J. Carroll

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Patrick John Carroll's CRS (Customer Relationship Summary).

Certified licenses

Experience

MFS FUND DISTRIBUTORS, INC.

HARTFORD FUNDS

HARTFORD FUNDS

HARTFORD FUNDS DISTRIBUTORS, LLC

GLOBAL ATLANTIC DISTRIBUTORS, LLC

DIRECTED SERVICES LLC

DIRECTED SERVICES LLC

Primary Firm SEC Registration

MFS INSTITUTIONAL ADVISORS INC.

State Registrations and Notice Filings

Exams

Series 65

Date: 9/25/2009

Series 63

Date: 6/3/2008

SIE

Date: 10/1/2018

Series 7

Date: 1/8/2015

Series 6

Date: 4/18/2008

FINRA

Current Firm

MFS INSTITUTIONAL ADVISORS INC.

Contact information

SEC notice filing (53 States and Territories)

Documents

Part 2 Brochures

Regulatory assets under management

Red Flags

Company Information

MFS INSTITUTIONAL ADVISORS INC.

TRUST BUT VERIFY

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