Kimberly Carroll, financial advisor Denver CO
89 score

Kimberly Carroll

CRD Number: 6197789
Current Firm: Merrill Lynch, Pierce, Fenner & Smith Incorporated

Kimberly Carroll (CRD# 6197789) is an Investment Advisor Representative working at Merrill Lynch, Pierce, Fenner & Smith Incorporated in Denver, CO and has over 3 years of experience in the finance industry.

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Company Name Location Dates Years
Merrill Lynch, Pierce, Fenner & Smith Incorporated Denver, CO Mar 2015 - Current 1
Fifth Third Securities Cincinnati, OH Apr 2013 - Mar 2015 1
Fifth Third Bank Cincinnati, OH Aug 2008 - Apr 2013 4
Interlibrary Loan Oxford, OH Aug 2006 - May 2008 1
Fifth Third Bank Cincinnati, OH May 2007 - Aug 2007 < 1
First Miami Student Credit Union Oxford, OH Nov 2005 - Jan 2007 1
Historic Properties Management Cincinnati, OH May 2006 - Aug 2006 < 1
Exam Code Name Passed Date
S66 NASAA Uniform Combined State Law Examination Nov 2013
Contact Info for Kimberly A. Carroll
Phone Number: 800-637-7455
Registered State(s):
  • CO
  • TX
By the Numbers
  • Total Assets Under Management
    575,342
    MILLIONS
  • Total Number of Accounts
    1,715,259
    ACCOUNTS
  • Average Account Value
    $335,425
Compensation Options
  • A percentage of assets under your management
  • Hourly charges
  • Fixed fees (other than subscription fees)
  • Commissions
Advisory Services Offered
  • Financial planning services
  • Portfolio management for individuals and/or small businesses
  • Portfolio management for pooled investment vehicles (other than investment companies)
  • Portfolio management for businesses (other than small businesses) or institutional clients
  • Pension consulting services
  • Selection of other advisers (including private fund managers)
  • Other
Types of Clients
Registered States

AK, AL, AR, CA, CO, CT, DC, DE, FL, GA, HI, IA, ID, IL, IN, KS, KY, LA, MD, ME, MI, MN, MO, MS, MT, NC, ND, NE, NH, NJ, NM, NV, NY, OH, OK, PA, RI, SC, SD, TN, TX, UT, VA, VI, VT, WA, WI, WV

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BADGES
89
Clean Record
This advisor has a clean track record with regulators.

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