Dione R. Carroll
Professional summary
Dione Renee Carroll, who also goes by Dee Carroll, Dione R Carroll, Dione Renee Carroll, Dione Renee VIktoria Carroll, is a registered financial advisor currently at FIRST COMMAND ADVISORY SERVICES located in Colorado Springs, Colorado and FIRST COMMAND BROKERAGE SERVICES, INC. located in Colorado Springs, Colorado.
Dione is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 2020. Dione has worked at 5 firms and has passed the Series 66, Series 63, Series 7TO, Series 6TO and SIE exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary) - RIA
Click below to view Dione Renee Carroll's CRS (Customer Relationship Summary).
Certified licenses
Experience
October 20, 2025 - Present
FIRST COMMAND ADVISORY SERVICES
Office #1: 615 Wooton Rd Suite 130, Colorado Springs, CO 80915October 20, 2025 - Present
FIRST COMMAND BROKERAGE SERVICES, INC.
Office #1: 615 Wooten Road Suite 130, Colorado Springs, CO 80915March 27, 2024 - September 23, 2025
J.P. MORGAN SECURITIES LLC
March 27, 2024 - September 23, 2025
J.P. MORGAN SECURITIES LLC
September 12, 2022 - March 19, 2024
T. ROWE PRICE ADVISORY SERVICES, INC.
July 18, 2022 - March 19, 2024
T. ROWE PRICE INVESTMENT SERVICES, INC.
November 12, 2020 - August 2, 2021
T. ROWE PRICE INVESTMENT SERVICES, INC.
Primary Firm SEC Registration
FIRST COMMAND ADVISORY SERVICES
CRD#: 281958 / SEC#: 801-56942
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
Visual representation of state registrations
(10/20/2025)
(10/20/2025)
(10/20/2025)
(10/20/2025)
Exams
Series 7TO
Date: 8/17/2022
General Securities Representative ExaminationSeries 6TO
Date: 11/12/2020
Investment Company Products/Variable Contracts Representative ExaminationFINRA
Current Firm
FIRST COMMAND ADVISORY SERVICES
CRD#: 281958 / SEC#: 801-56942
Contact information
SEC notice filing (52 States and Territories)
Regulatory assets under management
| Total Number of Accounts | 110,166 |
| AUM (Assets Under Management) | $ 22,090,760,499 |
Red Flags
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Company Information
FIRST COMMAND ADVISORY SERVICES
CRD#: 281958Colorado Springs, CO 80915TRUST BUT VERIFY
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