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RC

Richard L. Carroll

INTENTIONAL WEALTH STRATEGIES
Colorado Springs, CO 80920
Some features on this profile are disabled
CRD#: 5548162
RC

Professional summary

Richard Lehmann Carroll, CFP®, who also goes by Rich Carroll, Richard Carroll, is a registered financial advisor currently at INTENTIONAL WEALTH STRATEGIES located in Colorado Springs, Colorado.

Richard is registered as an IAR (Investment Advisor Representative) and started their career in finance in 2011. Richard has worked at 8 firms and has passed the Series 63, Series 65, Series 7TO, SIE and Series 7 exams.

Question & Answer

Are you a "fiduciary"?
Yes

Aliases

Rich Carroll | Richard Carroll

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 Richard Lehmann 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®
CFP®

Certified Financial Planner

Start date: 2014

Experience

Current

September 29, 2023 - Present

INTENTIONAL WEALTH STRATEGIES

Office #1: 1125 Kelly Johnson Blvd. Suite 111, Colorado Springs, CO 80920
RIA
CRD#: 327743
Colorado Springs, CO
Past

October 23, 2020 - December 1, 2023

INTENTIONAL WEALTH STRATEGIES

RIA
CRD#: 310791
COLORADO SPRINGS, CO
Past

September 25, 2020 - October 3, 2023

RAYMOND JAMES FINANCIAL SERVICES, INC.

BD
CRD#: 6694
Colorado Springs, CO
Past

August 7, 2020 - September 9, 2020

INTENTIONAL WEALTH STRATEGIES

RIA
CRD#: 292613
COLORADO SPRINGS, CO
Past

July 29, 2020 - October 3, 2023

RAYMOND JAMES FINANCIAL SERVICES ADVISORS, INC

RIA
CRD#: 149018
Colorado Springs, CO
Past

January 4, 2016 - September 3, 2020

FIRST ASCENT FINANCIAL, LLC

RIA
CRD#: 281994
COLORADO SPRINGS, CO
Past

March 27, 2013 - December 9, 2015

AMERIPRISE FINANCIAL SERVICES, LLC

RIA
CRD#: 6363
COLORADO SPRINGS, CO
Past

March 1, 2013 - December 9, 2015

AMERIPRISE FINANCIAL SERVICES, LLC

BD
CRD#: 6363
COLORADO SPRINGS, CO
Past

March 7, 2011 - February 15, 2013

USAA FINANCIAL ADVISORS, INC.

BD
CRD#: 129035
COLORADO SPRINGS, CO

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".
IW
INTENTIONAL WEALTH STRATEGIES
INTENTIONAL WEALTH STRATEGIES | LONG CARROLL WEALTH, LLC

CRD#: 327743 / SEC#: 801-128740

RIA
Registered Investment Advisory firm - (9/15/2023 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
Colorado
(9/29/2023)
IAR
Texas
(9/29/2023)

Exams

State Security Law Exam
RR
Series 63
Date: 11/17/2020
Uniform Securities Agent State Law Examination
State Security Law Exam
IAR
Series 65
Date: 3/26/2013
Uniform Investment Adviser Law Examination
General Industry/Product Exam
RR
Series 7TO
Date: 9/25/2020
General Securities Representative Examination
General Industry/Product Exam
RR
SIE
Date: 9/15/2020
Securities Industry Essentials Examination
General Industry/Product Exam
RR
Series 7
Date: 3/4/2011
General Securities Representative Examination

Current Firm

IW
INTENTIONAL WEALTH STRATEGIES
INTENTIONAL WEALTH STRATEGIES | LONG CARROLL WEALTH, LLC

CRD#: 327743 / SEC#: 801-128740

RIA
Registered Investment Advisory firm - (9/15/2023 Approved)
PREMIUM
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Trends, Not Just SnapshotsMonitor firm stability metrics like AUM and advisor ratios over time.

Contact information

Main Address
1125 Kelly Johnson Blvd. Suite 111, Colorado Springs, CO 80920
Mailing Address
Phone number
(719) 694-8002
Established
Firm type
Fiscal year end
# of Employees
2

SEC notice filing (5 States and Territories)

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

Documents

Customer Relationship Summary (CRS / SEC)Latest Form ADV

Part 2 Brochures

DISCLOSURE BROCHURE FOR LONG CARROLL WEALTH, LLC (1/28/2026)

Regulatory assets under management

Total Number of Accounts573
AUM (Assets Under Management)$ 139,635,618

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

INTENTIONAL WEALTH STRATEGIES

CRD#: 327743Colorado Springs, CO 80920

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