Stephen Carroll
Stephen Carroll is a registered investment advisor at Carroll Investors, INC., based in Mt Pleasant, SC, with 29 years of industry experience. Stephen operates on a fee-only basis, meaning they do not earn commissions from product sales. Their practice areas include Investment Management. Their firm serves 92 clients with $210M in assets under management.
Compensation
Firm Size
Number of Clients
Average Client Portfolio
Assets Under Management
Fee Structure
Carroll Investors charges an annual fee for managing your investments, ranging from 1.00% to 3.00% of the market value of your portfolio. The specific fee depends on the size of your portfolio, the complexity of services, and the level of administration requested. Fees are billed quarterly, based on the average daily balance of your account. The advisory fee is negotiable, depending on your individual circumstances. There is a minimum annual fee of 1%, which may be waived at the firm's discretion.
Location
1036 Lansing Dr, Suite 102, Mt Pleasant, SC, 29464
Get directionsHistory
Regulatory History (2)
Customer Dispute
December 2009Customer Dispute
June 2009Other Business Activities
Stephen is a registered associate with Raymond James & Associates, Inc. starting in 2013. The filing does not specify the time commitment.
Employment History
Current Registrations
Carroll Investors, INC.
Previous Registrations
Raymond James & Associates, INC.
Raymond James & Associates, INC.Broker
Morgan Keegan & Company, INC.
Morgan Keegan & Company, INC.Broker
UBS Financial Services INC.
UBS Financial Services INC.Broker
Wachovia Securities, INC.Broker
Wachovia Securities, INC.Broker
State Registrations2 states
You can work with an advisor not registered in your state. Most advisors can legally serve a small number of clients across state lines without registering.