KC
Kimberly A. Carroll
AMERITAS ADVISORY SERVICES
Pittsburgh, PA 15220
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CRD#: 6877337
KC
Professional summary
Kimberly Ann Carroll, who also goes by Kim Carroll, Kimberly A Hooper, is a registered financial advisor currently at AMERITAS ADVISORY SERVICES, LLC located in Pittsburgh, Pennsylvania and AMERITAS INVESTMENT COMPANY, LLC located in Pittsburgh, Pennsylvania.
Kimberly is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 2017. Kimberly has worked at 3 firms and has passed the Series 65, Series 63, Series 7TO, SIE and Series 6 exams.
Question & Answer
Are you a "fiduciary"?
Yes
Aliases
Kim Carroll | Kimberly A Hooper
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.
Western PA Financial Center dba Ameritas Financial Services of WPA; same as branch; inv rel; financial services agency; Insurance Agent / Broker; start date=06/2021; hrs/mo=120; trading hrs/mo=120; sale of traditional life insurance and annuity products, manage a portion of another Registered Representative's book of business and begin some financial planning services with some of his clients * Michele's Dance Center; 9825 Perry Hwy, Wexford PA 15090; non-inv rel; teaching dance to children from ages 2-18; Dance Teacher; start date=09/2003; hrs/mo=1; trading hrs/mo=0; substitute on occasion for the staff if they are unavailable to teach students various dance styles including tap, ballet, jazz and hip-hop * Notary Public; same as branch; non-inv rel; notarize documents; Notary Public; start date=01/2018; hrs/mo=1; trading hrs/mo=1; notarize documents * Carroll Consulting, LLC; non inv rel; 11 Wisteria Drive, Pittsburgh, PA 15235; Tax purposes; Owner; start date=01/2024; hrs/mo=120; trading hrs/mo=120; Same duties and responsibilities as a financial advisor * Strategic Associates; non inv rel; 701 S Main St Ste 330, Logan, UT 84321; Consulting; Referrer; start date=01/2024; hrs/mo=1; trading hrs/mo=1; Refer clients for tax mitigation services * Rising Phoenixes LLC; non-inv rel; 1807 Meadville St, Pittsburgh, PA 15214; Purchase and management of rental properties; Member; start date=04/2024; hrs/mo=1; trading hrs/mo=1; Partnering to manage rental properties.
CRS (Client Relationship Summary) - RIA
Click below to view Kimberly Ann 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®
NoneExperience
Current
November 1, 2021 - Present
AMERITAS ADVISORY SERVICES, LLC
Office #1: Foster Plaza Building #11 790 Holiday Drive - 1st Floor, Pittsburgh, PA 15220RIA
CRD#: 317245
Pittsburgh, PA
Current
July 6, 2021 - Present
AMERITAS INVESTMENT COMPANY, LLC
Office #1: 7 Parkway Center Ste 650, Pittsburgh, PA 15220BD
CRD#: 14869
Pittsburgh, PA
Past
July 6, 2021 - November 1, 2021
AMERITAS INVESTMENT COMPANY, LLC
RIA
CRD#: 14869
LINCOLN, NE
Past
October 31, 2018 - June 4, 2021
CITIZENS SECURITIES, INC.
RIA
CRD#: 39550
PITTSBURGH, PA
Past
December 11, 2017 - June 4, 2021
CITIZENS SECURITIES, INC.
BD
CRD#: 39550
PITTSBURGH, 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".
AA
AMERITAS ADVISORY SERVICES, LLC
AMERITAS ADVISORY SERVICES, LLC
CRD#: 317245 / SEC#: 801-55153
RIA
Registered Investment Advisory firm - (1/13/1998 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.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
California(1/11/2024)
RR
Florida(7/11/2022)
RR
Louisiana(5/1/2023)
RR
Maryland(1/12/2022)
RR
New Jersey(6/21/2023)
RR
New York(11/23/2021)
RR
North Carolina(3/10/2025)
RR
Ohio(10/1/2021)
RR
Pennsylvania(7/6/2021)
IAR
Pennsylvania(11/1/2021)
RR
South Carolina(11/9/2023)
RR
West Virginia(7/11/2022)
Exams
State Security Law Exam
State Security Law Exam
General Industry/Product Exam
RR
Series 7TO
Date: 7/19/2019
General Securities Representative ExaminationGeneral Industry/Product Exam
General Industry/Product Exam
SRO Registrations
RR
FINRA
Current Firm
AA
AMERITAS ADVISORY SERVICES, LLC
AMERITAS ADVISORY SERVICES, LLC
CRD#: 317245 / SEC#: 801-55153
RIA
Registered Investment Advisory firm - (1/13/1998 Approved)Upgrade to AdvisorCheck Premium
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Contact information
Main Address
5900 O Street, Lincoln, NE 68510
Mailing Address
Phone number
(800) 335-9858
Established
Firm type
Fiscal year end
# of Employees
560
SEC notice filing (51 States and Territories)
Documents
Regulatory assets under management
| Total Number of Accounts | 41,501 |
| AUM (Assets Under Management) | $ 11,506,548,514 |
Accountant surprise examination report
| Filing Date | Form ADV-E Cover | Form ADV-E Report |
|---|---|---|
| 10/28/2025 | ||
| 07/23/2024 | ||
| 07/27/2023 |
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.
