Richard Carroll, financial advisor Colorado Springs CO
96 score

Richard Carroll

CRD 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 7 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.

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Professional Designations
Company Name Location Dates Years
First Ascent Financial, LLC Colorado Springs, CO Nov 2015 - Current 2
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
Contact Info for Richard L. Carroll
Phone Number: 719-425-9436
Registered State(s):
  • CO
  • TX
By the Numbers
  • Total Assets Under Management
  • Total Number of Accounts
  • Average Account Value
Compensation Options
  • Fixed fees (other than subscription fees)
Advisory Services Offered
  • Financial planning services
  • Portfolio management for individuals and/or small businesses
Types of Clients
Registered States


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Clean Record
This advisor has a clean track record with regulators.

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