Carrie Brumbaugh

VICTORY WEALTH SERVICES

Prescott, AZ 86303

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CRD#: 6892927

Professional summary

Carrie Brumbaugh, who also goes by Carrie Lee Brumbaugh, Carrie Lee Covert, is a registered financial advisor currently at VICTORY WEALTH SERVICES, LLC located in Prescott, Arizona.

Carrie is registered as an IAR (Investment Advisor Representative) and started their career in finance in 2018. Carrie has worked at 4 firms and has passed the Series 66, SIE and Series 7 exams.

Question & Answer

Are you a "fiduciary"?

Yes

Aliases

Carrie Lee Brumbaugh | Carrie Lee Covert

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.

Covert Creative LLC www.CovertCreativeAZ.com 1455 Eureka Ridge Way, Prescott, AZ 86303 Creation and sales of craft items Start: 01/2022 10 hours per week 0 during trading hours Miss Yavapai County Scholarship Organization www.TeamPineapple.org 1455 Eureka Ridge Way, Prescott, AZ 86303 Executive Director of the organization - responsible for the daily management of the charity and the volunteers. Start - 2018 20 hours per week 0 during trading hours Admin Monkey; EMP Sales; Is the business investment related: No; Description of the business: EMP (Electrical Material Partners) Sales packages electrical materials for wind and solar farms throughout the United States; Responsibilities Duties: Assist with HR, AR, AP; Start date with business: 2023-10-01; Hours per month devoted to business during trading hours: 0; Hours per month devoted to business outside trading hours: 10; Percentage of total yearly compensation expected to be derived from the business: 10;

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Carrie Brumbaugh'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®

None

Experience

Current

February 1, 2023 - Present

VICTORY WEALTH SERVICES, LLC

Office #1: 3741 Karicio Lane Suite 2, Prescott, AZ 86303

RIA

CRD#: 290270

Prescott, AZ

Past

March 16, 2022 - August 8, 2022

ROBINHOOD FINANCIAL, LLC

CRD#: 165998

Tempe, AZ

Past

November 13, 2018 - February 19, 2022

J.P. MORGAN SECURITIES LLC

RIA

CRD#: 79

PRESCOTT, AZ

Past

November 6, 2018 - February 19, 2022

J.P. MORGAN SECURITIES LLC

CRD#: 79

PRESCOTT, AZ

Past

March 23, 2018 - October 22, 2018

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

RIA

CRD#: 7691

PRESCOTT, AZ

Past

February 16, 2018 - October 22, 2018

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

CRD#: 7691

PRESCOTT, AZ

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

Arizona
(2/1/2023)

IAR

Nevada
(10/23/2025)

IAR

Texas
(6/5/2025)

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: 3/22/2018

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: 2/16/2018

General Securities Representative Examination

Current Firm

VICTORY WEALTH SERVICES, LLC

CRD#: 290270 / SEC#:

Arizona

Registered Investment Advisory firm - (1/23/2018 Approved)

Nevada

Registered Investment Advisory firm - (10/17/2025 Approved)

Texas

Registered Investment Advisory firm - (5/29/2025 Conditional Restricted)

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Contact information

Main Address

3741 Karicio Lane Suite 2, Prescott, AZ 86303

Mailing Address

Phone number

(928) 778-1050

Established

Firm type

Fiscal year end

# of Employees

Documents

Latest Form ADV

Regulatory assets under management

Total Number of Accounts	198
AUM (Assets Under Management)	$ 36,013,682

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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Carrie Brumbaugh

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Carrie Brumbaugh's CRS (Customer Relationship Summary).

Certified licenses

Experience

VICTORY WEALTH SERVICES, LLC

ROBINHOOD FINANCIAL, LLC

J.P. MORGAN SECURITIES LLC

J.P. MORGAN SECURITIES LLC

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

State Registrations and Notice Filings

Exams

Series 66

Date: 3/22/2018

SIE

Date: 10/1/2018

Series 7

Date: 2/16/2018

Current Firm

VICTORY WEALTH SERVICES, LLC

Contact information

Documents

Regulatory assets under management

Red Flags

Company Information

VICTORY WEALTH SERVICES, LLC

TRUST BUT VERIFY

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