Kenji Carroll

Employer firm

LPl Financial LLC CRD 6413

$819B regulatory AUM 209,600 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

• 10/2000 → Present
  Guardian
  Honolulu, HI
• 06/2009 → 05/2024
  Crown Capital Securities, Lp
  Orange, CA
• 07/2013 → Present
  Carroll Capital Management
  Honolulu, HI
• 05/2024 → Present
  Lpl Financial Llc
  Honolulu, HI

Previous Registrations

• 2009-06-19 → 2024-05-01
  Crown Capital Securities, L.P.
  Honolulu, HI
  Aiea, HI
  Honolulu, HI
  Orange, CA
• 2003-10-10 → 2009-06-24
  Ameriprise Advisor Services, Inc.
  Honolulu, HI

Other Businesses

(1) 05/01/2024 - Carroll Capital Management - Tax Prep/Accounting/CPA - Investment Related - At Reported Business Location(s) - Start Date 01/01/2014 - 20 Hours Per Month (2) 05/01/2024 - NVI - Trails only CARROLL CAPITAL MANAGEMENT - Non-Variable Insurance - Investment Related - At Reported Business Location(s) - Start Date 01/01/2014

Exams

• S65 Uniform Investment Adviser Law Examination
  2003-10-09
• S63 Uniform Securities Agent State Law Examination
  2001-01-26