Richard CarrollCRD Number: 5548162
Current Firm: First Ascent Financial, LLC
Richard Carroll (CRD# 5548162) is an Investment Advisor Representative working at First Ascent Financial, LLC in Colorado Springs, CO and has over 5 years of experience in the finance industry. Richard Carroll has taken additional exams to become a Certified Financial Planner (CFP®). CFP professionals must pass the comprehensive CFP Certification Examination, pass CFP Board's Fitness Standards for Candidates and Registrants, agree to abide by CFP Board's Code of Ethics and Professional Responsibility and Rules of Conduct which put clients' interests first and comply with the Financial Planning Practice Standards.
Garrett Investment Advisors, LLC
Brooks Financial Planning
Thrivent Investment Management Inc.
|First Ascent Financial, LLC||Colorado Springs, CO||Nov 2015 - Current||1|
|Ameriprise Financial Services, Inc.||Colorado Springs, CO||Feb 2013 - Oct 2015||2|
|Usaa Financial Advisors Inc.||Colorado Springs, CO||Jan 2011 - Feb 2013||2|
|The Navigators||Colorado Springs, CO||May 2010 - Jan 2011||< 1|
|Copper Mountain Resorts||Copper Mountain, CO||Feb 2010 - Apr 2010||< 1|
|Alpine Adventures||Leadville, CO||Nov 2009 - Apr 2010||< 1|
|Unemployed||Lubbock, TX||Aug 2009 - Nov 2009||< 1|
|The Navigators||Colorado Springs, CO||May 2009 - Aug 2009||< 1|
|Texas Tech University Rec Sports||Lubbock, TX||Jan 2006 - May 2009||3|
|Texas Tech University||Lubbock, TX||Aug 2005 - May 2009||3|
|Lpl/ Oakley Financial Advisors||Carlsbad, NM||Jun 2008 - Aug 2008||< 1|
|Exam Code||Name||Passed Date|
|S63||Uniform Securities State Law Examination||Mar 2011|
|S65||NASAA Investment Advisors Law Examination||Mar 2013|
Total Assets Under Management0MILLIONS
Total Number of Accounts0ACCOUNTS
Average Account Value$0
- Hourly charges
- Fixed fees (other than subscription fees)
- Financial planning services
- Portfolio management for individuals and/or small businesses
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