CM
Carrie S. Mikell
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CRD#: 5998592
CM
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.
Carrie Sarah Mikell, who also goes by Carrie Sarah Brock, Carrie S Brock, Carrie Brock, Carrie S Mikell, Carrie Sarah Mikell, was a registered financial professional .
Carrie is a previously registered financial professional and started their career in finance in 2021. Carrie had worked at 3 firms and has passed the Series 63, Series 6TO and SIE exams.
Question & Answer
Are you a "fiduciary"?
No
Aliases
Carrie Sarah Brock | Carrie S Brock | Carrie Brock | Carrie S Mikell | Carrie Sarah Mikell
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.
Sales of insurance products and non-insurance products, part-time or full-time, for companies affiliated with OneAmerica Life Insurance Co. Financial planning services with Yield Financial Advisors I am on the director of finance for a small nonprofit called Mt Mamas (mtmamas.org). I manage their books for them and consult on financial decisions. I am not currently paid for this role but may begin being paid soon. (About $15 per hours) I also do some account management for an e-commerce business. I receive between $250 and $750 per month for this work. Being the director of finance for a non-profit here in Utah. It is not currently a paid position but we are hoping to start receiving a small hourly wage here shortly. I put 5-6 hrs a month into this. My husband and I run a small recycling business. It's nothing big but my husband is working on growing it. I maybe spend 20 min a month on this, it's mostly my husband's thing. I do dog-sitting through Rover and I occasionally do DoorDash. I spend maybe 10 hrs a month on this.
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®
NoneExperience
Past
December 18, 2023 - December 6, 2024
ACRYLIC FINANCIAL, INC.
RIA
CRD#: 288263
Lehi, UT
Past
January 24, 2022 - November 9, 2023
YIELD FINANCIAL ADVISORS
RIA
CRD#: 162235
Lehi, UT
Past
July 31, 2021 - January 11, 2022
TRANSAMERICA FINANCIAL ADVISORS, LLC
BD
CRD#: 16164
SO. JORDAN, UT
Past
July 19, 2021 - January 11, 2022
TRANSAMERICA FINANCIAL ADVISORS, LLC
RIA
CRD#: 16164
SO. JORDAN, UT
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".
AF
ACRYLIC FINANCIAL, INC.
ACRYLIC FINANCIAL, INC. | CORNERSTONE FINANCIAL GROUP | BROKERS ALLIANCE INVESTMENTS, INC.
CRD#: 288263 / SEC#: 801-123623
RIA
Registered Investment Advisory firm - (4/6/2022 Approved)Arizona
Registered Investment Advisory firm - (4/14/2022 Terminated)California
Registered Investment Advisory firm - (5/14/2022 Terminated)Colorado
Registered Investment Advisory firm - (4/15/2022 Terminated)Florida
Registered Investment Advisory firm - (4/14/2022 Terminated)Illinois
Registered Investment Advisory firm - (4/14/2022 Terminated)Kansas
Registered Investment Advisory firm - (4/14/2022 Terminated)Maryland
Registered Investment Advisory firm - (4/21/2022 Terminated)Massachusetts
Registered Investment Advisory firm - (4/14/2022 Terminated)Michigan
Registered Investment Advisory firm - (4/20/2022 Terminated)Nebraska
Registered Investment Advisory firm - (4/14/2022 Terminated)North Dakota
Registered Investment Advisory firm - (4/14/2022 Terminated)Oklahoma
Registered Investment Advisory firm - (4/14/2022 Terminated)Texas
Registered Investment Advisory firm - (4/14/2022 Terminated)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
State Security Law Exam
General Industry/Product Exam
RR
Series 6TO
Date: 7/30/2021
Investment Company Products/Variable Contracts Representative ExaminationGeneral Industry/Product Exam
Current Firm
AF
ACRYLIC FINANCIAL, INC.
ACRYLIC FINANCIAL, INC. | CORNERSTONE FINANCIAL GROUP | BROKERS ALLIANCE INVESTMENTS, INC.
CRD#: 288263 / SEC#: 801-123623
RIA
Registered Investment Advisory firm - (4/6/2022 Approved)Arizona
Registered Investment Advisory firm - (4/14/2022 Terminated)California
Registered Investment Advisory firm - (5/14/2022 Terminated)Colorado
Registered Investment Advisory firm - (4/15/2022 Terminated)Florida
Registered Investment Advisory firm - (4/14/2022 Terminated)Illinois
Registered Investment Advisory firm - (4/14/2022 Terminated)Kansas
Registered Investment Advisory firm - (4/14/2022 Terminated)Maryland
Registered Investment Advisory firm - (4/21/2022 Terminated)Massachusetts
Registered Investment Advisory firm - (4/14/2022 Terminated)Michigan
Registered Investment Advisory firm - (4/20/2022 Terminated)Nebraska
Registered Investment Advisory firm - (4/14/2022 Terminated)North Dakota
Registered Investment Advisory firm - (4/14/2022 Terminated)Oklahoma
Registered Investment Advisory firm - (4/14/2022 Terminated)Texas
Registered Investment Advisory firm - (4/14/2022 Terminated)Upgrade to AdvisorCheck Premium
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Contact information
Main Address
16930 East Palisades Blvd. Suite 100-c, Fountain Hills, AZ 85268
Mailing Address
Phone number
(833) 422-7954
Established
Firm type
Fiscal year end
# of Employees
24
SEC notice filing (17 States and Territories)
Regulatory assets under management
| Total Number of Accounts | 298 |
| AUM (Assets Under Management) | $ 58,442,331 |
Red Flags
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Check for any disclosures as part of your thorough research when choosing an advisor.
