Benjamin Carroll has been an investment adviser representative at Allegiance Financial Group since March 2026, and is not listed among the firm’s executive officers or direct owners.
Allegiance Financial Group, Inc. is a South Portland, ME firm with $181M under management, 173 clients and 6 advisers in one office, as of its March 2026 filing.
Benjamin Carroll’s longest registration is the current one, under a year at Allegiance Financial Group since 2026.
- Savant Wealth ManagementAlso current– present · under a yearSouth Portland, ME · Adviser representative · Firm CRD 107271
- – present · under a yearSouth Portland, ME · Adviser representative · Firm CRD 113826
Investment adviser representative registrations
Benjamin Carroll is registered as an investment adviser representative in Maine, since March 2026.
- MaineSince 24 March 2026
Examinations
| Exam | Name | Passed |
|---|---|---|
| Series 65 | Uniform Investment Adviser Law Examination | 3 December 2025 |
| SIE | Securities Industry Essentials Examination | 25 April 2025 |
- Name
- Uniform Investment Adviser Law Examination
- Name
- Securities Industry Essentials Examination
- Full name
- Benjamin Henry Carroll
- CRD
- 8163164
- Firm
- Allegiance Financial Group · CRD 113826
- Office
- 50 DONALD B. DEAN DRIVE, SUITE ONE, South Portland, ME 04106
- Registration
- Investment adviser registration
- In the industry since
- March 2026
- Disciplinary history
- Not yet shown here · SEC record
Where does Benjamin Carroll work?
Benjamin Carroll is an investment adviser representative registered through Allegiance Financial Group, Inc. since March 2026, and is not listed among the firm’s executive officers or direct owners.
Is Benjamin Carroll a financial advisor?
Yes. Benjamin Carroll has a current investment-adviser registration in Maine, through Allegiance Financial Group since March 2026.
How many years of experience does Benjamin Carroll have?
Benjamin Carroll has 0 years in the financial industry, since March 2026, across 2 adviser firms.
What exams has Benjamin Carroll passed?
Benjamin Carroll has passed 2 licensing exams: the SIE and Series 65. The earliest, the SIE, was passed in April 2025.
Where is Benjamin Carroll based?
Benjamin Carroll’s registered office is in South Portland, ME.
Is Benjamin Carroll registered with FINRA?
No. Benjamin Carroll has no current broker registration.
How can I verify Benjamin Carroll’s record?
Search CRD 8163164 on the SEC’s adviser search (adviserinfo.sec.gov), which publishes Benjamin Carroll’s full registration record.