Richard Carroll has been Chief Compliance Officer of Intentional Wealth Strategies since July 2023, is a control person of the firm and directly owns under 5% of it.
Intentional Wealth Strategies is a Colorado Springs, CO firm with $171M under management, 161 clients and 3 advisers across 2 offices, as of its October 2026 filing.
Richard Carroll’s longest registration was 4 years at First Ascent Financial, LLC (2016–2020). Before joining Intentional Wealth Strategies in 2023, Richard Carroll was registered through Intentional Wealth Strategies and Raymond James Financial Services Advisors, Inc.
- – present · 3 yearsColorado Springs, CO · Adviser representative · Firm CRD 327743
- Intentional Wealth Strategies– · 3 yearsColorado Springs, CO · Adviser representative · Firm CRD 310791
- Intentional Wealth Strategies– · under a yearColorado Springs, CO · Adviser representative · Firm CRD 292613
- Raymond James Financial Services Advisors, Inc– · 3 yearsColorado Springs, CO · Adviser representative · Firm CRD 149018
- First Ascent Financial, LLC– · 4 yearsColorado Springs, CO · Adviser representative · Firm CRD 281994
- Ameriprise Financial Services, Inc.– · 2 yearsColorado Springs, CO · Adviser representative · Firm CRD 6363
Investment adviser representative registrations
Richard Carroll is registered as an investment adviser representative in 2 states. Each was approved in September 2023.
- ColoradoSince 29 September 2023
- TexasSince 29 September 2023
Examinations
| Exam | Name | Passed |
|---|---|---|
| Series 63 | Uniform Securities Agent State Law Examination | 17 November 2020 |
| Series 7TO | General Securities Representative Examination | 25 September 2020 |
| SIE | Securities Industry Essentials Examination | 15 September 2020 |
| Series 65 | Uniform Investment Adviser Law Examination | 26 March 2013 |
| Series 7 | General Securities Representative Examination | 4 March 2011 |
- Name
- Uniform Securities Agent State Law Examination
- Name
- General Securities Representative Examination
- Name
- Securities Industry Essentials Examination
- Name
- Uniform Investment Adviser Law Examination
- Name
- General Securities Representative Examination
- Full name
- Richard Lehmann Carroll
- CRD
- 5548162
- Firm
- Intentional Wealth Strategies · CRD 327743
- Role
- Chief Compliance Officer
- Office
- 1125 KELLY JOHNSON BLVD., SUITE 111, Colorado Springs, CO 80920
- Registration
- Investment adviser registration
- In the industry since
- April 2011
- Disciplinary history
- Not yet shown here · SEC record
Where does Richard Carroll work?
Richard Carroll has been Chief Compliance Officer of Intentional Wealth Strategies since July 2023, and is a control person of the firm.
Is Richard Carroll a financial advisor?
Yes. Richard Carroll has a current investment-adviser registration in Colorado and Texas, through Intentional Wealth Strategies since September 2023.
How many years of experience does Richard Carroll have?
Richard Carroll has 15 years in the financial industry, since April 2011, across 6 adviser firms.
What exams has Richard Carroll passed?
Richard Carroll has passed 5 licensing exams: the Series 7, Series 65, SIE, Series 7TO and Series 63. The earliest, the Series 7, was passed in March 2011.
Where did Richard Carroll work before Intentional Wealth Strategies?
Before Intentional Wealth Strategies, Richard Carroll was registered through Intentional Wealth Strategies (CRD 292613), August 2020 to September 2020; First Ascent Financial, LLC, January 2016 to September 2020; Ameriprise Financial Services, Inc., March 2013 to December 2015.
Where is Richard Carroll based?
Richard Carroll’s registered office is in Colorado Springs, CO.
Is Richard Carroll registered with FINRA?
No. Richard Carroll has no current broker registration.
How can I verify Richard Carroll’s record?
Search CRD 5548162 on the SEC’s adviser search (adviserinfo.sec.gov), which publishes Richard Carroll’s full registration record.