Unclaimed Profile

Larry Wayne Carroll

CARROLL FINANCIAL ASSOCIATES INC·CHARLOTTE, North Carolina

SIE, Series 7, Series 24, Series 6324 years registeredCARROLL FINANCIAL ASSOCIATES INC

4521 SHARON ROAD, SUITE 400, CHARLOTTE, NC 28211CRD# 1026306Firm CRD# 105427

Profile Verification

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

Identity

Larry Wayne Carroll · CHARLOTTE, NC

Registration

CRD #1026306 · CARROLL FINANCIAL ASSOCIATES INC · 24 years registered

Brand Profile

Not yet started

Career History

WEALTH ENHANCEMENT ADVISORY SERVICES, LLC

Dec 2021 – present

CARROLL FINANCIAL ASSOCIATES INC

Dec 2001 – Dec 2021

CHARLOTTE, NC

Registrations & Exams

FINRA examinations passed

SIE

Series 7

Series 24

Series 63

Registration record

First registered · December 31, 2001

Years registered · 24

Disclosure History

2009Customer Dispute·Settled

1 disclosure event on file · Verify on FINRA BrokerCheck →

Source: SEC IAPD, as of 14 August 2026. Resolutions may have changed since.

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 Larry Wayne Carroll offer?

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

What are Larry Wayne Carroll's credentials?

Larry Wayne Carroll is a registered investment adviser representative. Check their firm's Form ADV filing for detailed qualification information.

Where is Larry Wayne Carroll located?

Larry 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 Larry Wayne Carroll charge for services?

Larry 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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