Sean Carroll

Employer firm

LPl Enterprise, LLC CRD 8733

$24.9B regulatory AUM 12,118 advisory clients

Reported services (Item 5G)

• Financial planning
• Portfolio management (individuals)
• Portfolio management (institutions)
• Educational seminars
• CONSULTING AND OTHER NON-DISCRETIONARY ADVISORY SERVICES

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

• Item 5F — Regulatory AUM
• Item 5G — Advisory services
• Full firm profile

Current Employers

Employment History

• 02/2018 → 04/2021
  Planmember Securities Corporation
  Carpinteria, CA
• 09/2017 → 02/2018
  Mdsi - Medical, Dental Staffing
  Ventura, CA
• 12/2014 → 09/2017
  Sansum Medical
  Santa Barbara, CA
• 04/2021 → 09/2022
  Valic Financial Advisors, Inc.
  Woodland Hills, CA
• 09/2022 → 08/2025
  Fidelity Investments
  Santa Barbara, CA
• 06/2025 → Present
  Lpl Enterprise Llc
  Irvine, CA

Previous Registrations

• 2023-03-22 → 2024-11-27
  Fidelity Personal And Workplace Advisors
  Santa Barbara, CA
• 2021-05-05 → 2022-10-07
  Valic Financial Advisors, Inc.
  Glendale, CA
  Woodland Hills, CA

Other Businesses

1. 07/13/2025 - Santa Barbara Premier Water Polo Club - Non-Profit Board Member - Santa Barbara, CA - NOT INV REL - Start Date 07/13/2021 - 3hrs/mth | 0hrs during trading 2. 08/05/2025 - Prudential Advisors - DBA for LPL Business (entity for LPL business) - Santa Barbara, CA - INV REL - Start Date 08/05/2025 - 160hrs/mth | 160hrs during trading 3. 08/05/2025 - SEAN CARROLL N/A Non-Variable Insurance - Non-Variable Insurance/Insurance Agency - Santa Barbara, CA - INV REL - Start Date 08/05/2025 - 160hrs/mth | 160hrs during trading

Exams

• S65 Uniform Investment Adviser Law Examination
  2021-05-04
• S63 Uniform Securities Agent State Law Examination
  2018-07-24

Other Names

• Sean Carroll
• Sean Michael Carroll