Kristopher Wayne Carroll

Employer firm

Wealth Enhancement Advisory Services, LLC CRD 116407

$122B regulatory AUM 327 advisory clients

Reported services (Item 5G)

• Financial planning
• Portfolio management (individuals)
• Pension consulting
• Selection of other advisers
• Educational seminars
• ERISA 3(38) INVESTMENT MANAGER

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

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

Current Employers

Employment History

• 06/2002 → 11/2021
  Carroll Financial Associates
  Charlotte, NC
• 01/2013 → 10/2021
  Cetera Advisor Networks Llc
  El Segundo, CA
• 03/2016 → 11/2021
  Carroll Financial Associates
  Charlotte, NC
• 01/2021 → 11/2021
  Carroll Financial Associates
  Charlotte, NC
• 11/2021 → 06/2025
  Lpl Financial
  Charlotte, NC
• 11/2021 → Present
  Wealth Enhancement Group
  Charlotte, NC
• 11/2021 → Present
  Wealth Enhancement Advisory Services
  Charlotte, NC
• 12/2021 → Present
  Wealth Enhancement Brokerage Services
  Charlotte, NC

Previous Registrations

• 2005-01-07 → 2021-12-08
  Carroll Financial Associates Inc
  Charlotte, NC
  Charlotte, NC
• 2002-08-23 → 2002-09-13
  Cetera Wealth Services, Llc
  Charlotte, NC
  Charlotte, NC
  Rock Hill, SC

Other Businesses

1) 2/3/2022 - KSP Enterprises - Not Investment Related - Home Based - Business Entity For Tax/Investment Purposes Only - Start Date: 2/1/2022 - 4 Hours Per Month/0 Hours During Securities Trading. 2) 03/22/2022 - WEALTH ENHANCEMENT ADVISORY SERVICES LLC - Investment Related - At Reported Business Location(s) - Registered Investment Advisor Hybrid - Financial Advisor - Start Date - 11/1/2021 - 150 Hours Per Month/100 Hours During Securities Trading - Time Spent 100% - I provide investment advisory services through WEALTH ENHANCEMENT ADVISORY SERVICES LLC, an independent investment advisor firm. I started this business activity in 3/2022. I expect to spend approximately 150 hours per month on this activity. Please see the advisory firm's Form ADV for more information about its address, the nature of its business, its owners, and its services at http://www.adviserinfo.sec.gov/IAPD. 3) 09/27/2023 - KSP Family Group - Business Entity For Tax/Investment Purposes Only - CEO and Owner - Not Investment Related - Home Based - Start Date 02/01/2022 - 4 Hours per Month/ 0 Hours During Trading 4) Bold Therapeutics - Non-Investment Related - Board Member - Start Date: 08/2025 - 1-2 Hours Spent Per Month, 0 Hours Spent During Trading Hours. 5) Enviro-Master International Franchise, LLC - Non-Investment Related - Board Member - Start Date: 08/2025 - 1-2 Hours Spent Per Month, 0 Hours Spent During Trading Hours.

Exams

• S65 Uniform Investment Adviser Law Examination
  2003-01-15
• S63 Uniform Securities Agent State Law Examination
  1999-08-20

Designations

• Certified Financial Planner

Other Names

• Kris Carroll