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Brian Michael Carroll

Brian M. Carroll

HESMER WEALTH MANAGEMENT
Carmel, IN
Some features on this profile are disabled
CRD#: 6889059
Brian Michael Carroll

Professional summary

Brian Michael Carroll, CFP® is a registered financial advisor currently at HESMER WEALTH MANAGEMENT LLC located in Carmel, Indiana.

Brian is registered as an IAR (Investment Advisor Representative) and started their career in finance in 2018. Brian has worked at 3 firms and has passed the Series 66, SIE and Series 7 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 Brian Michael 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: 2019

Experience

Current

February 10, 2026 - Present

HESMER WEALTH MANAGEMENT LLC

RIA
CRD#: 340213
Carmel, IN
Past

October 1, 2021 - April 2, 2026

OAK HARBOR WEALTH PARTNERS, LLC

RIA
CRD#: 311528
Carmel, IN
Past

February 13, 2018 - October 12, 2021

RAYMOND JAMES & ASSOCIATES, INC.

RIA
CRD#: 705
Carmel, IN
Past

January 22, 2018 - October 12, 2021

RAYMOND JAMES & ASSOCIATES, INC.

BD
CRD#: 705
Carmel, IN

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
Indiana
(2/10/2026)
IAR
Texas
(2/10/2026)

Exams

State Security Law Exam
RR
IAR
Series 66
Date: 2/12/2018
Uniform Combined State Law Examination
General Industry/Product Exam
RR
SIE
Date: 10/1/2018
Securities Industry Essentials Examination
General Industry/Product Exam
RR
Series 7
Date: 1/22/2018
General Securities Representative Examination

Current Firm

HW
HESMER WEALTH MANAGEMENT LLC
HESMER WEALTH MANAGEMENT LLC

CRD#: 340213 / SEC#: 801-135302

RIA
Registered Investment Advisory firm - (2/10/2026 120-Day Approval)
PREMIUM
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Catch Firm Red Flags SoonerCatch leadership changes and disclosures early, before issues escalate.
Trends, Not Just SnapshotsMonitor firm stability metrics like AUM and advisor ratios over time.

Contact information

Main Address
Raleigh, NC
Mailing Address
Phone number
(252) 230-7699
Established
Firm type
Fiscal year end
# of Employees
6

SEC notice filing (7 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

HESMER WEALTH MANAGEMENT LLC - ADV PART 2A BROCHURE (1/21/2026)
0

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

HESMER WEALTH MANAGEMENT LLC

CRD#: 340213Carmel, IN

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