Stephen Carroll

$502B regulatory AUM 142 advisory clients

Reported services (Item 5G)

From the firm’s Form ADV. Read the guides:

290 Congress Street, Boston, MA 02210 • United States

Current Registrations

Authority	Category	Status	Date
MA	RA	APPROVED	2025-08-01

Branch Locations

Boston, MA • United States

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

Organization	City	State	From	To
Columbia Management Investment Distributors, Inc.	Independence	MN	03/2025	Present
B. Riley Financial	Boston	MA	05/2023	08/2023
Dent Wizard International	Bridgeton	MO	05/2022	08/2022
Walmart	Chesterfield	MO	05/2021	08/2021
Boston College	Chestnut Hill	MA	08/2020	05/2024
Unemployed	Boston	MA	06/2024	02/2025
St. Louis Priory School	Creve Coeur	MO	08/2016	06/2020
Columbia Management Investment Advisers, Llc	Boston	MA	07/2025	Present

03/2025 → Present

Columbia Management Investment Distributors, Inc.

Independence, MN
05/2023 → 08/2023

B. Riley Financial

Boston, MA
05/2022 → 08/2022

Dent Wizard International

Bridgeton, MO
05/2021 → 08/2021

Walmart

Chesterfield, MO
08/2020 → 05/2024

Boston College

Chestnut Hill, MA
06/2024 → 02/2025

Unemployed

Boston, MA
08/2016 → 06/2020

St. Louis Priory School

Creve Coeur, MO
07/2025 → Present

Columbia Management Investment Advisers, Llc

Boston, MA

Code	Exam	Date
S66	Uniform Combined State Law Examination	2025-07-07

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