Maria Howe has been Chief Compliance Officer of Carroll Investors since September 2020, is not listed as a control person, but directly owns under 5% of the firm.
Carroll Investors, Inc. is a MT Pleasant, SC firm with $221M under management, 88 clients and 2 advisers in one office, as of its March 2026 filing.
Maria Howe’s longest registration was 7 years at Raymond James & Associates, Inc. (2013–2020). Before joining Carroll Investors in 2021, Maria Howe was registered through Raymond James & Associates, Inc. and Morgan Keegan & Company, Inc.
- Carroll Investors, Inc.Current– present · 5 yearsMT Pleasant, SC · Adviser representative · Firm CRD 311180
- Raymond James & Associates, Inc.– · 7 yearsMount Pleasant, SC · Adviser representative · Firm CRD 705
- Morgan Keegan & Company, Inc.– · 4 yearsCharleston, SC · Adviser representative · Firm CRD 4161
- UBS Financial Services Inc.– · 1 yearCharleston, SC · Adviser representative · Firm CRD 8174
Investment adviser representative registrations
Maria Howe is registered as an investment adviser representative in South Carolina, since January 2021.
- South CarolinaSince 7 January 2021
Examinations
| Exam | Name | Passed |
|---|---|---|
| SIE | Securities Industry Essentials Examination | Credited |
| Series 66 | Uniform Combined State Law Examination | 21 December 2006 |
| Series 7 | General Securities Representative Examination | 22 November 2006 |
- Name
- Securities Industry Essentials Examination
- Name
- Uniform Combined State Law Examination
- Name
- General Securities Representative Examination
- Full name
- Maria Bethany Howe
- CRD
- 5164889
- Firm
- Carroll Investors · CRD 311180
- Role
- Chief Compliance Officer
- Office
- 1036 LANSING DR, SUITE 102, MT Pleasant, SC 29464
- Registration
- Investment adviser registration
- In the industry since
- November 2006
- Disciplinary history
- Not yet shown here · SEC record
Where does Maria Howe work?
Maria Howe has been Chief Compliance Officer of Carroll Investors, Inc. since September 2020.
Is Maria Howe a financial advisor?
Yes. Maria Howe has a current investment-adviser registration in South Carolina, through Carroll Investors since January 2021.
How many years of experience does Maria Howe have?
Maria Howe has 19 years in the financial industry, since November 2006, across 4 adviser firms.
What exams has Maria Howe passed?
Maria Howe has passed 2 licensing exams: the Series 7 and Series 66. The earliest, the Series 7, was passed in November 2006. FINRA credited Maria Howe with the SIE, which began in October 2018.
Where did Maria Howe work before Carroll Investors?
Before Carroll Investors, Maria Howe was registered through Raymond James & Associates, Inc., February 2013 to December 2020; Morgan Keegan & Company, Inc., December 2008 to February 2013; UBS Financial Services Inc., January 2007 to December 2008.
Where is Maria Howe based?
Maria Howe’s registered office is in MT Pleasant, SC.
Is Maria Howe registered with FINRA?
No. Maria Howe has no current broker registration.
How can I verify Maria Howe’s record?
Search CRD 5164889 on the SEC’s adviser search (adviserinfo.sec.gov), which publishes Maria Howe’s full registration record.