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Stephen Darryl Carroll

CARROLL INVESTORS, INC.·MT PLEASANT, South Carolina
SIE, Series 7, Series 63, Series 6523 years registeredCARROLL INVESTORS, INC.
1036 LANSING DR, MT PLEASANT, SC 29464CRD# 2804183Firm CRD# 311180

Profile Verification

Sourced · FINRA · SEC · CFP Board · Self-disclosed
Identity
Stephen Darryl Carroll · MT PLEASANT, SC
Registration
CRD #2804183 · CARROLL INVESTORS, INC. · 23 years registered
Brand Profile
Not yet started
01

Career History

CARROLL INVESTORS, INC.
Nov 2020 – present
RAYMOND JAMES & ASSOCIATES, INC.
Feb 2013 – Dec 2020
MOUNT PLEASANT, SC
MORGAN KEEGAN & COMPANY, INC.
Dec 2008 – Feb 2013
CHARLESTON, SC
UBS FINANCIAL SERVICES INC.
Oct 2002 – Dec 2008
CHARLESTON, SC
02

Registrations & Exams

FINRA examinations passed
SIE
Series 7
Series 63
Series 65
Registration record
First registered · October 14, 2002
Years registered · 23
03

Disclosure History

2009Customer Dispute·Denied
2009Customer Dispute·Settled

2 disclosure events on file · Verify on FINRA BrokerCheck →

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

04

Firm Overview

Firm
CARROLL INVESTORS, INC.
CRD 311180 · SEC 801-119870
AUM
$150M
Regulatory assets under management
Employees
3
190 client accounts
Services offered by CARROLL INVESTORS, INC.
Per Form ADV
Portfolio management (individuals)
Client types served by the firm
Per Form ADV
Individuals
View all advisors at CARROLL INVESTORS, INC. →
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05

Frequently Asked Questions

What services does Stephen Darryl Carroll offer?
Stephen Darryl Carroll specializes in Investment Management, Fee-Only Advisory. Contact their office in MT PLEASANT, South Carolina for a consultation.
What are Stephen Darryl Carroll's credentials?
Stephen Darryl Carroll is a registered investment adviser representative. Check their firm's Form ADV filing for detailed qualification information.
Where is Stephen Darryl Carroll located?
Stephen Darryl Carroll is based in MT PLEASANT, South Carolina, working with CARROLL INVESTORS, INC.. Their office serves clients in the MT PLEASANT metropolitan area and surrounding communities.
How does Stephen Darryl Carroll charge for services?
Stephen Darryl Carroll's firm is compensated through percentage of aum. Always review the firm's Form ADV Part 2 for complete fee details before engaging an advisor.
How large is CARROLL INVESTORS, INC.?
CARROLL INVESTORS, INC. has approximately 3 employees and manages $150M in regulatory assets under management. The firm is registered with the SEC as an investment adviser.
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