Stephen Carroll has been President/CEO of Carroll Investors since September 2020, is a control person of the firm and directly owns 75% or more of it.
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.
Stephen Carroll’s longest registration was 7 years at Raymond James & Associates, Inc. (2013–2020). Before joining Carroll Investors in 2020, Stephen Carroll 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.– · 6 yearsCharleston, SC · Adviser representative · Firm CRD 8174
Investment adviser representative registrations
Stephen Carroll is registered as an investment adviser representative in 2 states, as a resident of Texas. Each was approved in November 2020.
- South CarolinaSince 30 November 2020
- TexasResidentSince 30 November 2020
Examinations
| Exam | Name | Passed |
|---|---|---|
| SIE | Securities Industry Essentials Examination | Credited |
| Series 65 | Uniform Investment Adviser Law Examination | 12 August 1997 |
| Series 63 | Uniform Securities Agent State Law Examination | 31 December 1996 |
| Series 7 | General Securities Representative Examination | 13 December 1996 |
- Name
- Securities Industry Essentials Examination
- Name
- Uniform Investment Adviser Law Examination
- Name
- Uniform Securities Agent State Law Examination
- Name
- General Securities Representative Examination
- Full name
- Stephen Darryl Carroll
- CRD
- 2804183
- Firm
- Carroll Investors · CRD 311180
- Role
- President/CEO
- Office
- 1036 LANSING DR, SUITE 102, MT Pleasant, SC 29464
- Registration
- Investment adviser registration
- In the industry since
- December 1996
- Disciplinary history
- Not yet shown here · SEC record
Where does Stephen Carroll work?
Stephen Carroll has been President/CEO of Carroll Investors, Inc. since September 2020, and is a control person of the firm.
Is Stephen Carroll a financial advisor?
Yes. Stephen Carroll has a current investment-adviser registration in South Carolina and Texas, through Carroll Investors since November 2020.
How many years of experience does Stephen Carroll have?
Stephen Carroll has 29 years in the financial industry, since December 1996, across 4 adviser firms.
What exams has Stephen Carroll passed?
Stephen Carroll has passed 3 licensing exams: the Series 7, Series 63 and Series 65. The earliest, the Series 7, was passed in December 1996. FINRA credited Stephen Carroll with the SIE, which began in October 2018.
Where did Stephen Carroll work before Carroll Investors?
Before Carroll Investors, Stephen Carroll was registered through Morgan Keegan & Company, Inc., December 2008 to February 2013; UBS Financial Services Inc., October 2002 to December 2008.
Where is Stephen Carroll based?
Stephen Carroll’s registered office is in MT Pleasant, SC.
Is Stephen Carroll registered with FINRA?
No. Stephen Carroll has no current broker registration.
How can I verify Stephen Carroll’s record?
Search CRD 2804183 on the SEC’s adviser search (adviserinfo.sec.gov), which publishes Stephen Carroll’s full registration record.