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Michael Christopher Carroll

Carroll Wealth Management Inc.

Chesterfield, MO

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Current Employers
Carroll Wealth Management Inc.

16305 Swingley Ridge Rd Suite 210, Chesterfield, MO 63017 • United States

Current Registrations

AuthorityCategoryStatusDate
MO RA APPROVED 2009-12-17
  • MO RA
    APPROVED
    Since 2009-12-17

Branch Locations

16305 Swingley Ridge Rd Suite 210, Chesterfield, MO 63017 • 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
Carroll Wealth Management Inc. (152211) Chesterfield MO 12/2009 Present
  • 12/2009 → Present
    Carroll Wealth Management Inc. (152211)
    Chesterfield, MO
Previous Registrations
  • 2007-02-16 → 2009-12-22
    Lpl Financial Llc
    Chesterfield, MO
    Fort Mill, SC
    Chesterfield, MO
  • 2003-08-28 → 2007-02-20
    Ameriprise Advisor Services, Inc.
    Clayton, MO
    Clayton, MO
Other Businesses

Licensed Insurance Agent. I am not actively using the license but do maintain it in case I need it in the future.

Exams
CodeExamDate
S65 Uniform Investment Adviser Law Examination 2003-08-27
S63 Uniform Securities Agent State Law Examination 1991-12-30
  • S65 Uniform Investment Adviser Law Examination
    2003-08-27
  • S63 Uniform Securities Agent State Law Examination
    1991-12-30
Other Names
  • Mike Carroll

View on SEC IAPD

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MATTHEW EDWARD FITZGERALD
PATRICK DONLAN
JAMES MATTHEW MUCCIGROSSO
Jason Alan Cummings
Thomas Christopher Self
JACOB DANIEL STANSFIELD
Shawn Benjamin Mahoney

Other Offices

PRINCIPAL SECURITIES, INC. · CHESTERFIELD, MO
LPL FINANCIAL LLC · CHESTERFIELD, MO
SMITH, MOORE & CO. · CHESTERFIELD, MO
EDWARD JONES · Chesterfield, MO
IMPACT PARTNERSHIP WEALTH, LLC · Chesterfield, MO
MBM WEALTH CONSULTANTS, LLC · CHESTERFIELD, MO
LPL FINANCIAL LLC · CHESTERFIELD, MO
BRAND ASSET MANAGEMENT GROUP, INC. · CHESTERFIELD, MO

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