Brian M. Carroll

OAK HARBOR WEALTH PARTNERS

Carmel, IN

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CRD#: 6889059

Professional summary

Brian Michael Carroll, CFP® is a registered financial advisor currently at OAK HARBOR WEALTH PARTNERS, 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 2 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

October 1, 2021 - Present

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.

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".

OAK HARBOR WEALTH PARTNERS, LLC

OAK HARBOR WEALTH PARTNERS, LLC | SPORTING WEALTH PARTNERS

CRD#: 311528 / SEC#: 801-122270

RIA

Registered Investment Advisory firm - (9/3/2021 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
(10/7/2024)

IAR

North Carolina
(10/1/2021)

Don't see your state listed? The advisor may still be able to work with you under the federal De Minimis Rule, which allows up to five investment advisory clients in a state without registration. Some states, like TX, LA, NE, and NH, may still require registration or notice filing. Contact the advisor or their firm to confirm their investment advisory availability in your state.

Exams

State Security Law Exam

IAR

Series 66

Date: 2/12/2018

Uniform Combined State Law Examination

General Industry/Product Exam

SIE

Date: 10/1/2018

Securities Industry Essentials Examination

General Industry/Product Exam

Series 7

Date: 1/22/2018

General Securities Representative Examination

Current Firm

OAK HARBOR WEALTH PARTNERS, LLC

OAK HARBOR WEALTH PARTNERS, LLC | SPORTING WEALTH PARTNERS

CRD#: 311528 / SEC#: 801-122270

RIA

Registered Investment Advisory firm - (9/3/2021 Approved)

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Contact information

Main Address

3101 Glenwood Avenue Suite 102, Raleigh, NC 27612

Mailing Address

Phone number

(919) 800-0705

Established

Firm type

Fiscal year end

# of Employees

SEC notice filing (16 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)

Latest Form ADV

Part 2 Brochures

OHW ADV AA 2A 3.27.2025 (3/27/2025)

Regulatory assets under management

Total Number of Accounts	1,480
AUM (Assets Under Management)	$ 623,140,608

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.

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Brian M. Carroll

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Brian Michael Carroll's CRS (Customer Relationship Summary).

Certified licenses

Experience

OAK HARBOR WEALTH PARTNERS, LLC

RAYMOND JAMES & ASSOCIATES, INC.

RAYMOND JAMES & ASSOCIATES, INC.

Primary Firm SEC Registration

OAK HARBOR WEALTH PARTNERS, LLC

State Registrations and Notice Filings

Exams

Series 66

Date: 2/12/2018

SIE

Date: 10/1/2018

Series 7

Date: 1/22/2018

Current Firm

OAK HARBOR WEALTH PARTNERS, LLC

Contact information

SEC notice filing (16 States and Territories)

Documents

Part 2 Brochures

Regulatory assets under management

Red Flags

Company Information

OAK HARBOR WEALTH PARTNERS, LLC

TRUST BUT VERIFY

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