Unclaimed Profile

Kristopher Wayne Carroll

CARROLL FINANCIAL ASSOCIATES INC·CHARLOTTE, North Carolina

SIE, Series 4, Series 7, Series 24, Series 52TO, Series 53, Series 63, Series 65CFPClean record23 years registeredCARROLL FINANCIAL ASSOCIATES INC

4521 SHARON ROAD, SUITE 400, CHARLOTTE, NC 28211CRD# 3238874Firm CRD# 105427

Profile Verification

Sourced · FINRA · SEC · CFP Board · Self-disclosed

Identity

Kristopher Wayne Carroll · CHARLOTTE, NC

Registration

CRD #3238874 · CARROLL FINANCIAL ASSOCIATES INC · 23 years registered

Brand Profile

Not yet started

Career History

WEALTH ENHANCEMENT ADVISORY SERVICES, LLC

Dec 2021 – present

CARROLL FINANCIAL ASSOCIATES INC

Jan 2005 – Dec 2021

CHARLOTTE, NC

FINANCIAL NETWORK INVESTMENT CORPORATION

Aug 2002 – Sep 2002

CHARLOTTE, NC

Registrations & Exams

FINRA examinations passed

SIE

Series 4

Series 7

Series 24

Series 52TO

Series 53

Series 63

Series 65

Registration record

First registered · August 23, 2002

Years registered · 23

Professional designation · CFP

Disclosure History

Clean record · no disclosure events on file

Source: SEC IAPD. Verify on FINRA BrokerCheck →

Firm Overview

Firm

CARROLL FINANCIAL ASSOCIATES INC

CRD 105427 · SEC 801-15517

AUM

$4.1B

Regulatory assets under management

Employees

9,318 client accounts

Services offered by CARROLL FINANCIAL ASSOCIATES INC

Per Form ADV

Financial planning

Portfolio management (individuals)

Selection of other advisers

Publication of periodicals/newsletters

Market timing services

Charitable organization or education services

Client types served by the firm

Per Form ADV

Individuals

High Net Worth Individuals

Nonprofits & Foundations

View all advisors at CARROLL FINANCIAL ASSOCIATES INC →

Introduction

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Frequently Asked Questions

What services does Kristopher Wayne Carroll offer?

Kristopher Wayne Carroll specializes in Financial Planning, Investment Management, Wealth Management. Contact their office in CHARLOTTE, North Carolina for a consultation.

What are Kristopher Wayne Carroll's credentials?

Kristopher Wayne Carroll holds the following professional designations: CFP. These credentials require rigorous education, examination, and ongoing continuing education.

Where is Kristopher Wayne Carroll located?

Kristopher Wayne Carroll is based in CHARLOTTE, North Carolina, working with CARROLL FINANCIAL ASSOCIATES INC. Their office serves clients in the CHARLOTTE metropolitan area and surrounding communities.

How does Kristopher Wayne Carroll charge for services?

Kristopher Wayne Carroll's firm is compensated through percentage of aum, hourly charges, subscription fees. Always review the firm's Form ADV Part 2 for complete fee details before engaging an advisor.

How large is CARROLL FINANCIAL ASSOCIATES INC?

CARROLL FINANCIAL ASSOCIATES INC has approximately 52 employees and manages $4.1B in regulatory assets under management. The firm is registered with the SEC as an investment adviser.

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