Kevin Carroll has been an investment adviser representative at Fiduciary Capital Management since June 2026, and is not listed among the firm’s executive officers or direct owners. Kevin Carroll holds a Bachelor of Arts in Finance from the University of Connecticut.
Fiduciary Capital Management LLC is a Cheyenne, WY firm with $150M under management, 74 clients and 10 advisers in one office, as of its September 2026 filing.
Kevin Carroll is an Investment Adviser Representative with Fiduciary Capital Management LLC, based in Marlborough, Connecticut. He has more than 25 years of experience serving individual investors, executives, institutions, high-net-worth families and financial advisers, with advisory and leadership roles at Merrill Lynch, Wells Fargo Advisors, LPL Financial, Citigroup/Smith Barney, Bank of America Investment Services, Quick & Reilly and Advest. He is a Co-Founder of the Federation for American Financial Advisors.
Kevin Carroll’s longest registration was 6 years at Merrill Lynch, Pierce, Fenner & Smith Incorporated (2008–2014). Before joining Fiduciary Capital Management in 2026, Kevin Carroll was registered through Buell Investment Advisors and LPL Financial LLC.
- – present · under a yearMarlborough , CT · Adviser representative · Firm CRD 340618
- Buell Investment Advisors– · under a yearGlastonbury, CT · Adviser representative · Firm CRD 173423
- LPL Financial LLC– · 2 yearsGlastonbury, CT · Adviser representative · Firm CRD 6413
- Wells Fargo Clearing Services, LLC– · 4 yearsGlastonbury, CT · Adviser representative · Firm CRD 19616
- Merrill Lynch, Pierce, Fenner & Smith Incorporated– · 6 yearsGlastonbury, CT · Adviser representative · Firm CRD 7691
- Citigroup Global Markets Inc.– · under a yearSo Windsor, CT · Adviser representative · Firm CRD 7059
- Banc of America Investment Services, Inc.– · 3 yearsGlastonbury, CT · Adviser representative · Firm CRD 16361
- Quick & Reilly, Inc.– · 2 yearsGlastonbury, CT · Adviser representative · Firm CRD 11217
Investment adviser representative registrations
Kevin Carroll is registered as an investment adviser representative in Connecticut, since June 2026.
- ConnecticutSince 12 June 2026
Examinations
| Exam | Name | Passed |
|---|---|---|
| SIE | Securities Industry Essentials Examination | Credited |
| Series 24 | General Securities Principal Examination | 17 September 2002 |
| Series 66 | Uniform Combined State Law Examination | 24 January 2001 |
| Series 7 | General Securities Representative Examination | 24 February 1999 |
- Name
- Securities Industry Essentials Examination
- Name
- General Securities Principal Examination
- Name
- Uniform Combined State Law Examination
- Name
- General Securities Representative Examination
- Full name
- Kevin Joseph Carroll
- CRD
- 3124942
- Firm
- Fiduciary Capital Management · CRD 340618
- Office
- Marlborough , CT
- Registration
- Investment adviser registration
- In the industry since
- June 2003
- Disciplinary history
- Not yet shown here · SEC record
- Firm bio
- fiduciarycm.com
Where does Kevin Carroll work?
Kevin Carroll is an investment adviser representative registered through Fiduciary Capital Management LLC since June 2026, and is not listed among the firm’s executive officers or direct owners.
Is Kevin Carroll a financial advisor?
Yes. Kevin Carroll has a current investment-adviser registration in Connecticut, through Fiduciary Capital Management since June 2026.
How many years of experience does Kevin Carroll have?
Kevin Carroll has 23 years in the financial industry, since June 2003, across 8 adviser firms.
What exams has Kevin Carroll passed?
Kevin Carroll has passed 3 licensing exams: the Series 7, Series 66 and Series 24. The earliest, the Series 7, was passed in February 1999. FINRA credited Kevin Carroll with the SIE, which began in October 2018.
Where did Kevin Carroll work before Fiduciary Capital Management?
Before Fiduciary Capital Management, Kevin Carroll was registered through Buell Investment Advisors, September 2021 to March 2022; LPL Financial LLC, February 2019 to August 2021; Wells Fargo Clearing Services, LLC, November 2014 to February 2019; Merrill Lynch, Pierce, Fenner & Smith Incorporated, September 2008 to November 2014; Citigroup Global Markets Inc., November 2007 to October 2008; Banc of America Investment Services, Inc., October 2004 to November 2007; Quick & Reilly, Inc., August 2002 to October 2004.
Where is Kevin Carroll based?
Kevin Carroll’s registered office is in Marlborough , CT.
Is Kevin Carroll registered with FINRA?
No. Kevin Carroll has no current broker registration.
How can I verify Kevin Carroll’s record?
Search CRD 3124942 on the SEC’s adviser search (adviserinfo.sec.gov), which publishes Kevin Carroll’s full registration record.