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KC

Kurt W. Carroll

COPLEY FINANCIAL GROUP
SAN DIEGO, CA 92111
Some features on this profile are disabled
CRD#: 7240701
KC
Kurt Wallace CarrollCOPLEY FINANCIAL GROUP

Professional summary

Kurt Wallace Carroll, who also goes by Kurt Carroll, is a registered financial advisor currently at COPLEY FINANCIAL GROUP, INC. located in San Diego, California and COPLEY ALTERNATIVE INVESTMENTS INC. located in San Diego, California.

Kurt is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 2022. Kurt has worked at 3 firms and has passed the Series 65, Series 63, Series 7TO, Series 6TO and SIE exams.

Aliases

Kurt Carroll

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 Kurt Wallace 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®
None

Experience

Current

July 14, 2026 - Present

COPLEY FINANCIAL GROUP, INC.

Office #1: 5898 Copley Dr. Suite 101, San Diego, CA 92111
RIA
CRD#: 283070
SAN DIEGO, CA
Current

July 14, 2026 - Present

COPLEY ALTERNATIVE INVESTMENTS INC.

Office #1: 5898 Copley Dr. Ste 101, San Diego, CA 92111
BD
CRD#: 336405
SAN DIEGO, CA
Past

January 22, 2022 - January 26, 2026

NORTHWESTERN MUTUAL INVESTMENT SERVICES, LLC

BD
CRD#: 2881
SAN DIEGO, CA

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".
CF
COPLEY FINANCIAL GROUP, INC.
COPLEY FINANCIAL GROUP, INC.

CRD#: 283070 / SEC#: 801-119967

RIA
Registered Investment Advisory firm - (12/14/2020 Approved)
California
Registered Investment Advisory firm - (1/17/2021 Terminated)
New York
Registered Investment Advisory firm - (12/18/2020 Terminated)
Texas
Registered Investment Advisory firm - (12/18/2020 Terminated)

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.
RR
indicates the advisor is registered as a Registered Representative in this state, allowing them to offer securities such as stocks, bonds, and mutual funds through a broker-dealer.

Visual representation of state registrations

RR
California
(7/14/2026)
IAR
California
(7/14/2026)

Exams

State Security Law Exam
IAR
Series 65
Date: 6/26/2026
Uniform Investment Adviser Law Examination
State Security Law Exam
RR
Series 63
Date: 2/7/2022
Uniform Securities Agent State Law Examination
General Industry/Product Exam
RR
Series 7TO
Date: 9/23/2022
General Securities Representative Examination
General Industry/Product Exam
RR
Series 6TO
Date: 1/21/2022
Investment Company Products/Variable Contracts Representative Examination
General Industry/Product Exam
RR
SIE
Date: 1/7/2022
Securities Industry Essentials Examination
SRO Registrations
RR
FINRA

Current Firm

CF
COPLEY FINANCIAL GROUP, INC.
COPLEY FINANCIAL GROUP, INC.

CRD#: 283070 / SEC#: 801-119967

RIA
Registered Investment Advisory firm - (12/14/2020 Approved)
California
Registered Investment Advisory firm - (1/17/2021 Terminated)
New York
Registered Investment Advisory firm - (12/18/2020 Terminated)
Texas
Registered Investment Advisory firm - (12/18/2020 Terminated)
Loading...

Contact information

Main Address
2650 Camino Del Rio North, Suite 350, San Diego, CA 92108
Mailing Address
Phone number
(619) 294-6008
Established
Firm type
Fiscal year end
# of Employees
8

SEC notice filing (3 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)Latest Form ADV

Part 2 Brochures

SEC ADV PART 2A (12/11/2025)

Regulatory assets under management

Total Number of Accounts3,270
AUM (Assets Under Management)$ 318,820,063

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

COPLEY FINANCIAL GROUP, INC.

CRD#: 283070San Diego, CA 92111

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