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Richard Lehmann Carroll

Intentional Wealth Strategies

Colorado Springs, CO

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Current Employers
Intentional Wealth Strategies

1125 Kelly Johnson Blvd. Suite 111, Colorado Springs, CO 80920 • United States

Current Registrations

AuthorityCategoryStatusDate
CO RA APPROVED 2023-09-29
TX RA APPROVED 2023-09-29
  • CO RA
    APPROVED
    Since 2023-09-29
  • TX RA
    APPROVED
    Since 2023-09-29

Branch Locations

1125 Kelly Johnson Blvd. Suite 111, Colorado Springs, CO 80920 • United States

Disclosures

No disclosure categories reported as “Yes” on this SEC record.

  • Regulatory action No
  • Criminal No
  • Bankruptcy No
  • Civil judicial No
  • Bond No
  • Judgment / lien No
  • Investigation No
  • Customer complaint No
  • Termination No
Employment History
OrganizationCityStateFromTo
First Ascent Financial, Llc Colorado Springs CO 11/2015 09/2020
Raymond James Financial Services, Inc. Colorado Springs CO 07/2020 09/2023
Intentional Wealth Strategies, Llc Colorado Springs CO 11/2020 09/2023
Intentional Wealth Strategies Colorado Springs CO 09/2023 Present
Raymond James Financial Services Advisors, Inc Colorado Springs CO 07/2020 09/2023
  • 11/2015 → 09/2020
    First Ascent Financial, Llc
    Colorado Springs, CO
  • 07/2020 → 09/2023
    Raymond James Financial Services, Inc.
    Colorado Springs, CO
  • 11/2020 → 09/2023
    Intentional Wealth Strategies, Llc
    Colorado Springs, CO
  • 09/2023 → Present
    Intentional Wealth Strategies
    Colorado Springs, CO
  • 07/2020 → 09/2023
    Raymond James Financial Services Advisors, Inc
    Colorado Springs, CO
Previous Registrations
  • 2020-10-23 → 2023-12-01
    Intentional Wealth Strategies
    Colorado Springs, CO
  • 2020-07-29 → 2023-10-03
    Raymond James Financial Services Advisors, Inc
    Colorado Springs, CO
    Colorado Springs, CO
  • 2020-08-07 → 2020-09-09
    Intentional Wealth Strategies
    Colorado Springs, CO
  • 2016-01-04 → 2020-09-03
    First Ascent Financial, Llc
    Colorado Springs, CO
  • 2013-03-27 → 2015-12-09
    Ameriprise Financial Services, Llc
    Colorado Springs, CO
    Colorado Springs, CO
Exams
CodeExamDate
S63 Uniform Securities Agent State Law Examination 2020-11-17
S65 Uniform Investment Adviser Law Examination 2013-03-26
  • S63 Uniform Securities Agent State Law Examination
    2020-11-17
  • S65 Uniform Investment Adviser Law Examination
    2013-03-26
Designations
Other Names
  • Richard Carroll
  • Rich Carroll

View on SEC IAPD

Other Firms

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WELLS FARGO ADVISORS FINANCIAL NETWORK, LLC
SEAMOUNT FINANCIAL GROUP INC
UBS FINANCIAL SERVICES INC.
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
NORTHWESTERN MUTUAL INVESTMENT SERVICES, LLC
BENJAMIN F. EDWARDS & COMPANY, INC.
OSAIC WEALTH, INC.

Other Investors

KARLA ROSS
TROY CARLSON
JUSTIN BACKSTROM
JANICA JOLI GILLETTE-BACKSTROM
GARY BACKSTROM
Nicholas Dorsett
Patrick Thomas Healy
Christopher Robert Dorsett

Other Offices

LPL FINANCIAL LLC · COLORADO SPRINGS, CO
WELLS FARGO ADVISORS FINANCIAL NETWORK, LLC · COLORADO SPRINGS, CO
SEAMOUNT FINANCIAL GROUP INC · COLORADO SPRINGS, CO
UBS FINANCIAL SERVICES INC. · COLORADO SPRINGS, CO
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED · COLORADO SPRINGS, CO
NORTHWESTERN MUTUAL INVESTMENT SERVICES, LLC · COLORADO SPGS, CO
BENJAMIN F. EDWARDS & COMPANY, INC. · Colorado Springs, CO
OSAIC WEALTH, INC. · COLORADO SPRINGS, CO

More in Colorado Springs, CO

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