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Brian Michael Carroll

Brian M. Carroll

OAK HARBOR WEALTH PARTNERS
Carmel, IN
Some features on this profile are disabled
CRD#: 6889059
Brian Michael Carroll
Brian Michael CarrollOAK HARBOR WEALTH PARTNERS

Professional summary

Brian Michael Carroll, CFP® is a registered financial advisor currently at OAK HARBOR WEALTH PARTNERS 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.

At a Glance

Always Fiduciary

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.
(1) Oak Harbor Wealth Partners, LLC Address: Raleigh, NC Nature of the Business: RIA Position/Title: Investment Adviser Representative Investment Related: yes Start Date: 10/01/2021 Hours per month devoted to this business: 170 Hours per month devoted to this business during trading hours: 130 Description of duties: Provide investment advisory services

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

OAK HARBOR WEALTH PARTNERS

RIA
CRD#: 340213
Carmel, IN
Past

October 1, 2021 - April 2, 2026

CORDGRASS CAPITAL ADVISORS, 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

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".
OH
OAK HARBOR WEALTH PARTNERS
HESMER WEALTH MANAGEMENT LLC | OAK HARBOR WEALTH PARTNERS

CRD#: 340213 / SEC#: 801-135302

RIA
Registered Investment Advisory firm - (2/10/2026 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
Indiana
(2/10/2026)
IAR
Texas
(2/10/2026)

Exams

What does exam status mean?
State Security Law Exam
PR
IAR
Series 66
Status Unavailable
Passed: 2/12/2018
Uniform Combined State Law Examination
General Industry/Product Exam
PR
SIE
Status Unavailable
Passed: 10/1/2018
Securities Industry Essentials Examination
General Industry/Product Exam
PR
Series 7
Status Unavailable
Passed: 1/22/2018
General Securities Representative Examination

Current Firm

OH
OAK HARBOR WEALTH PARTNERS
HESMER WEALTH MANAGEMENT LLC | OAK HARBOR WEALTH PARTNERS

CRD#: 340213 / SEC#: 801-135302

RIA
Registered Investment Advisory firm - (2/10/2026 Approved)
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Contact information

Main Address
Raleigh, NC
Mailing Address
Phone number
(252) 230-7699
Established
Firm type
Fiscal year end
# of Employees
4

SEC notice filing (7 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)Latest Form ADV

Part 2 Brochures

HESMER WEALTH MANAGEMENT LLC - ADV PART 2A BROCHURE (7/28/2026)

Regulatory assets under management

Total Number of Accounts1,140
AUM (Assets Under Management)$ 288,419,511

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

OAK HARBOR WEALTH PARTNERS

CRD#: 340213Carmel, IN

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