CK
CK

Carroll Jean Klotz

27 Years of Experience
Broker
Areas of Practice
Investment Management
Compensation
Commission-BasedFee-Only (AUM)Fixed/Hourly
Firm Size
150 advisors
Number of Clients
7,580 clients
Average Client Portfolio
$578K average
Assets Under Management
$4.4B

Fee Structure

Minimum Investment:$50K
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Location

501 North Broadway, St. Louis, MO, 63102

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History

Regulatory History
Clean regulatory record

No disclosures, customer disputes, or regulatory actions on file.

Disclosures include customer complaints, regulatory actions, and other events that advisors must report to the SEC. A clean record means none have been reported.

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Other Business Activities

Carroll works as a tax preparer since 1990, dedicating a few hours per week to this activity. This activity is not investment-related.

Employment History
Current Registrations
Stifel Independent Advisors, LLCBroker
January 2024 - Present · 2 yrs 1 mo
Stifel Independent Advisors, LLC
January 2024 - Present · 2 yrs 1 mo
Previous Registrations
LPL Financial LLC
September 2018 - January 2024 · 5 yrs 4 mos
LPL Financial LLCBroker
September 2018 - January 2024 · 5 yrs 4 mos
Wayne Hummer Investments L.L.C.
June 2018 - September 2018 · 3 mos
Wintrust Investments LLCBroker
June 2013 - September 2018 · 5 yrs 3 mos
Stofan, Agazzi & Company, INC.Broker
May 2005 - July 2013 · 8 yrs 2 mos
Citicorp Investment Services
July 2003 - May 2005 · 1 yr 10 mos
Citicorp Investment ServicesBroker
October 2001 - May 2005 · 3 yrs 7 mos
A. G. Edwards & Sons, INC.Broker
August 2001 - October 2001 · 2 mos
Invest Financial CorporationBroker
October 1998 - August 2001 · 2 yrs 10 mos
Terra Securities CorporationBroker
March 1998 - November 1998 · 8 mos
American Express Financial Advisors INC.Broker
December 1997 - February 1998 · 2 mos
Ids Life Insurance CompanyBroker
December 1997 - February 1998 · 2 mos
State Registrations13 states
AZCOFLILINKYMINCOHSCTXWAWI
AdvisorBrokerBoth
Exams
No exam information available for this advisor.