CARROLL FINANCIAL ASSOCIATES INC
CRD #105427 SEC #801-15517 CHARLOTTE, NC 704-553-8006
SEC Registered
Total AUM
$4.1B
Discretionary
$3.9B
Employees
52
Clients
11
Accounts
9,318
Firm Details
- Organization Type
- Corporation
- State of Formation
- North Carolina
- Fiscal Year End
- DECEMBER
- Registration Date
- --
- Latest Filing
- Mar 24, 2021
- Branch Offices
- 5
Advisory Services
No services reported
Compensation Methods
No compensation methods reported
Ownership
Direct Owners & Executive Officers (Schedule A)
| Name | Type | Title / Status | Ownership | Control |
|---|---|---|---|---|
| BROOKS, CARL, ALAN | I | EXECUTIVE VICE PRESIDENT | NA | |
| BROOKS, CARL, ALAN | I | EXECUTIVE VICE PRESIDENT | NA | |
| BROOKS, CARL, ALAN | I | EXECUTIVE VICE PRESIDENT | NA | |
| BROOKS, CARL, ALAN | I | EXECUTIVE VICE PRESIDENT | NA | |
| BROOKS, CARL, ALAN | I | EXECUTIVE VICE PRESIDENT | NA | |
| BROOKS, CARL, ALAN | I | EXECUTIVE VICE PRESIDENT | NA | |
| BROOKS, CARL, ALAN | I | EXECUTIVE VICE PRESIDENT | NA | |
| BROOKS, CARL, ALAN | I | EXECUTIVE VICE PRESIDENT | NA | |
| CARROLL, LARRY, WAYNE | I | PRESIDENT/CHIEF COMPLIANCE OFFICER | NA | Control |
| CARROLL, LARRY, WAYNE | I | PRESIDENT/CEO | NA | Control |
| CARROLL, LARRY, WAYNE | I | PRESIDENT/CEO | NA | Control |
| CARROLL, LARRY, WAYNE | I | PRESIDENT/CEO | NA | Control |
| CARROLL, LARRY, WAYNE | I | PRESIDENT/CEO | NA | Control |
| CARROLL, LARRY, WAYNE | I | PRESIDENT/CEO | NA | Control |
| CARROLL, LARRY, WAYNE | I | PRESIDENT/CEO | NA | Control |
| CARROLL, LARRY, WAYNE | I | PRESIDENT/CEO | NA | Control |
| CARROLL, LARRY, WAYNE | I | PRESIDENT/CEO | NA | Control |
| CARROLL, LARRY, WAYNE | I | PRESIDENT/CEO | NA | Control |
| CARROLL, LARRY, WAYNE | I | PRESIDENT/CEO | NA | Control |
| CARROLL, LARRY, WAYNE | I | PRESIDENT/CEO | NA | Control |
| CARROLL, LARRY, WAYNE | I | PRESIDENT/CEO | NA | Control |
| CARROLL, LARRY, WAYNE | I | PRESIDENT/CEO | NA | Control |
| CARROLL, LARRY, WAYNE | I | PRESIDENT/CEO | NA | Control |
| CARROLL, LARRY, WAYNE | I | PRESIDENT/CEO | NA | Control |
| CARROLL, LARRY, WAYNE | I | PRESIDENT/CEO | NA | Control |
| CARROLL, LARRY, WAYNE | I | PRESIDENT/CEO | NA | Control |
| CARROLL, LARRY, WAYNE | I | PRESIDENT/CEO | NA | Control |
| CARROLL, LARRY, WAYNE | I | CHAIRMAN EMERITUS | NA | Control |
| CARROLL, LARRY, WAYNE | I | CHAIRMAN EMERITUS | NA | Control |
| CARROLL, LARRY, WAYNE | I | PRESIDENT/CEO | NA | Control |
| GRAVES, BENJAMIN, KELLY | I | EXECUTIVE VICE PRESIDENT | NA | |
| GRAVES, BENJAMIN, KELLY | I | EXECUTIVE VICE PRESIDENT | NA | |
| GRAVES, BENJAMIN, KELLY | I | EXECUTIVE VICE PRESIDENT | NA | |
| GRAVES, BENJAMIN, KELLY | I | EXECUTIVE VICE PRESIDENT | NA | |
| GRAVES, BENJAMIN, KELLY | I | EXECUTIVE VICE PRESIDENT | NA | |
| GRAVES, BENJAMIN, KELLY | I | EXECUTIVE VICE PRESIDENT | NA | |
| GRAVES, BENJAMIN, KELLY | I | EXECUTIVE VICE PRESIDENT | NA | |
| GRAVES, BENJAMIN, KELLY | I | EXECUTIVE VICE PRESIDENT | NA | |
| GRAVES, BENJAMIN, KELLY | I | EXECUTIVE VICE PRESIDENT | NA | |
| GRAVES, BENJAMIN, KELLY | I | EXECUTIVE VICE PRESIDENT | NA | |
| GRAVES, BENJAMIN, KELLY | I | EXECUTIVE VICE PRESIDENT | NA | |
| GRAVES, BENJAMIN, KELLY | I | EXECUTIVE VICE PRESIDENT | NA | |
| GRAVES, BENJAMIN, KELLY | I | EXECUTIVE VICE PRESIDENT | NA | |
| GRAVES, BENJAMIN, KELLY | I | EXECUTIVE VICE PRESIDENT | NA | |
| GRAVES, BENJAMIN, KELLY | I | EXECUTIVE VICE PRESIDENT | NA | |
| GRAVES, BENJAMIN, KELLY | I | EXECUTIVE VICE PRESIDENT | NA | |
| GRAVES, BENJAMIN, KELLY | I | EXECUTIVE VICE PRESIDENT | NA | |
| GRAVES, BENJAMIN, KELLY | I | EXECUTIVE VICE PRESIDENT | NA | |
| GRAVES, BENJAMIN, KELLY | I | EXECUTIVE VICE PRESIDENT | NA | |
| GRAVES, BENJAMIN, KELLY | I | EXECUTIVE VICE PRESIDENT | NA | |
| GRAVES, BENJAMIN, KELLY | I | EXECUTIVE VICE PRESIDENT | NA | |
| GRAVES, BENJAMIN, KELLY | I | EXECUTIVE VICE PRESIDENT | NA | |
| PATTERSON, JOHN, ANDREW | I | EXECUTIVE VICE PRESIDENT | NA | |
| PATTERSON, JOHN, ANDREW | I | EXECUTIVE VICE PRESIDENT | NA | |
| PATTERSON, JOHN, ANDREW | I | EXECUTIVE VICE PRESIDENT | NA | |
| PATTERSON, JOHN, ANDREW | I | EXECUTIVE VICE PRESIDENT | NA | |
| PATTERSON, JOHN, ANDREW | I | EXECUTIVE VICE PRESIDENT | NA | |
| PATTERSON, JOHN, ANDREW | I | EXECUTIVE VICE PRESIDENT | NA | |
| PATTERSON, JOHN, ANDREW | I | EXECUTIVE VICE PRESIDENT | NA | |
| PATTERSON, JOHN, ANDREW | I | EXECUTIVE VICE PRESIDENT | NA | |
| PATTERSON, JOHN, ANDREW | I | EXECUTIVE VICE PRESIDENT | NA | |
| PATTERSON, JOHN, ANDREW | I | EXECUTIVE VICE PRESIDENT | NA | |
| PATTERSON, JOHN, ANDREW | I | EXECUTIVE VICE PRESIDENT | NA | |
| PATTERSON, JOHN, ANDREW | I | EXECUTIVE VICE PRESIDENT | NA | |
| PATTERSON, JOHN, ANDREW | I | EXECUTIVE VICE PRESIDENT | NA | |
| PATTERSON, JOHN, ANDREW | I | EXECUTIVE VICE PRESIDENT | NA | |
| PATTERSON, JOHN, ANDREW | I | EXECUTIVE VICE PRESIDENT | NA | |
| PATTERSON, JOHN, ANDREW | I | EXECUTIVE VICE PRESIDENT | NA | |
| PATTERSON, JOHN, ANDREW | I | EXECUTIVE VICE PRESIDENT | NA | |
| PATTERSON, JOHN, ANDREW | I | EXECUTIVE VICE PRESIDENT | NA | |
| PATTERSON, JOHN, ANDREW | I | EXECUTIVE VICE PRESIDENT | NA | |
| PATTERSON, JOHN, ANDREW | I | EXECUTIVE VICE PRESIDENT | NA | |
| PATTERSON, JOHN, ANDREW | I | EXECUTIVE VICE PRESIDENT | NA | |
| PATTERSON, JOHN, ANDREW | I | EXECUTIVE VICE PRESIDENT | NA | |
| CARROLL, KRISTOPHER, WAYNE | I | CHIEF OPERATIONS OFFICER | E | Control |
| CARROLL, KRISTOPHER, WAYNE | I | CHIEF OPERATIONS OFFICER/CHIEF COMPLIANCE OFFICER | E | Control |
| CARROLL, KRISTOPHER, WAYNE | I | CHIEF OPERATIONS OFFICER/CHIEF COMPLIANCE OFFICER | E | Control |
| CARROLL, KRISTOPHER, WAYNE | I | CHIEF OPERATIONS OFFICER/CHIEF COMPLIANCE OFFICER | E | Control |
| CARROLL, KRISTOPHER, WAYNE | I | CHIEF OPERATIONS OFFICER/CHIEF COMPLIANCE OFFICER | E | Control |
| CARROLL, KRISTOPHER, WAYNE | I | CHIEF OPERATIONS OFFICER/CHIEF COMPLIANCE OFFICER | E | Control |
| CARROLL, KRISTOPHER, WAYNE | I | CHIEF OPERATIONS OFFICER/CHIEF COMPLIANCE OFFICER | E | Control |
| CARROLL, KRISTOPHER, WAYNE | I | CHIEF OPERATIONS OFFICER/CHIEF COMPLIANCE OFFICER | E | Control |
| CARROLL, KRISTOPHER, WAYNE | I | CHIEF OPERATIONS OFFICER/CHIEF COMPLIANCE OFFICER | E | Control |
| CARROLL, KRISTOPHER, WAYNE | I | CHIEF OPERATIONS OFFICER/CHIEF COMPLIANCE OFFICER | E | Control |
| CARROLL, KRISTOPHER, WAYNE | I | CHIEF OPERATIONS OFFICER/CHIEF COMPLIANCE OFFICER | E | Control |
| CARROLL, KRISTOPHER, WAYNE | I | CHIEF OPERATIONS OFFICER/CHIEF COMPLIANCE OFFICER | E | Control |
| CARROLL, KRISTOPHER, WAYNE | I | CHIEF OPERATIONS OFFICER/CHIEF COMPLIANCE OFFICER | E | Control |
| CARROLL, KRISTOPHER, WAYNE | I | CHIEF OPERATIONS OFFICER/CHIEF COMPLIANCE OFFICER | E | Control |
| CARROLL, KRISTOPHER, WAYNE | I | CHIEF OPERATIONS OFFICER/CHIEF COMPLIANCE OFFICER | E | Control |
| CARROLL, KRISTOPHER, WAYNE | I | CHIEF OPERATIONS OFFICER/CHIEF COMPLIANCE OFFICER | E | Control |
| CARROLL, KRISTOPHER, WAYNE | I | CHIEF OPERATIONS OFFICER/CHIEF COMPLIANCE OFFICER | E | Control |
| CARROLL, KRISTOPHER, WAYNE | I | CHIEF OPERATIONS OFFICER/CHIEF COMPLIANCE OFFICER | E | Control |
| CARROLL, KRISTOPHER, WAYNE | I | CHIEF OPERATIONS OFFICER/CHIEF COMPLIANCE OFFICER | E | Control |
| CARROLL, KRISTOPHER, WAYNE | I | CHIEF EXECUTIVE OFFICER/CHIEF COMPLIANCE OFFICER | E | Control |
| CARROLL, KRISTOPHER, WAYNE | I | CHIEF EXECUTIVE OFFICER/CHIEF COMPLIANCE OFFICER | E | Control |
| CARROLL, KRISTOPHER, WAYNE | I | CHIEF OPERATIONS OFFICER/CHIEF COMPLIANCE OFFICER | E | Control |
| CARROLL, KRISTOPHER, WAYNE | I | CHIEF OPERATIONS OFFICER | C | Control |
| CARROLL, KRISTOPHER, WAYNE | I | CHIEF OPERATIONS OFFICER | C | Control |
| CARROLL, KRISTOPHER, WAYNE | I | CHIEF OPERATIONS OFFICER | C | Control |
| CARROLL, LARRY, WAYNE | I | PRESIDENT/CHIEF COMPLIANCE OFFICER | C | Control |
| CARROLL, LARRY, WAYNE | I | PRESIDENT/CHIEF COMPLIANCE OFFICER | C | Control |
| CARROLL, LARRY, WAYNE | I | PRESIDENT/CHIEF COMPLIANCE OFFICER | C | Control |
| CARROLL, LARRY, WAYNE | I | PRESIDENT/CHIEF COMPLIANCE OFFICER | C | Control |
| CARROLL, LARRY, WAYNE | I | PRESIDENT/CHIEF COMPLIANCE OFFICER | C | Control |
| CARROLL, LARRY, WAYNE | I | PRESIDENT/CHIEF COMPLIANCE OFFICER | C | Control |
| CARROLL, LARRY, WAYNE | I | PRESIDENT | C | Control |
| CARROLL, LARRY, WAYNE | I | PRESIDENT/CHIEF COMPLIANCE OFFICER | C | Control |
| CARROLL, LARRY, WAYNE | I | PRESIDENT/CHIEF COMPLIANCE OFFICER | C | Control |
| CARROLL, LARRY, WAYNE | I | PRESIDENT/CHIEF COMPLIANCE OFFICER | C | Control |
| CARROLL, LARRY, WAYNE | I | PRESIDENT/CHIEF COMPLIANCE OFFICER | C | Control |
| CARROLL, LARRY, WAYNE | I | PRESIDENT/CHIEF COMPLIANCE OFFICER | C | Control |
| CARROLL, LARRY, WAYNE | I | PRESIDENT/CHIEF COMPLIANCE OFFICER | C | Control |
| CARROLL, LARRY, WAYNE | I | PRESIDENT/CHIEF COMPLIANCE OFFICER | C | Control |
| CARROLL, LARRY, WAYNE | I | PRESIDENT/CHIEF COMPLIANCE OFFICER | C | Control |
| CARROLL, LARRY, WAYNE | I | PRESIDENT/CHIEF COMPLIANCE OFFICER | C | Control |
| CARROLL, LARRY, WAYNE | I | PRESIDENT/CHIEF COMPLIANCE OFFICER | C | Control |
| CARROLL, LARRY, WAYNE | I | PRESIDENT/CHIEF COMPLIANCE OFFICER | C | Control |
| CARROLL, LARRY, WAYNE | I | PRESIDENT/CHIEF COMPLIANCE OFFICER | C | Control |
| CARROLL, LARRY, WAYNE | I | PRESIDENT/CHIEF COMPLIANCE OFFICER | C | Control |
| CARROLL, LARRY, WAYNE | I | PRESIDENT/CHIEF COMPLIANCE OFFICER | C | Control |
| CARROLL, LARRY, WAYNE | I | PRESIDENT/CHIEF COMPLIANCE OFFICER | C | Control |
| BROOKS, CARL, ALAN | I | EXECUTIVE VICE PRESIDENT | B | |
| BROOKS, CARL, ALAN | I | EXECUTIVE VICE PRESIDENT | B | |
| BROOKS, CARL, ALAN | I | EXECUTIVE VICE PRESIDENT | B | |
| BROOKS, CARL, ALAN | I | EXECUTIVE VICE PRESIDENT | B | |
| BROOKS, CARL, ALAN | I | EXECUTIVE VICE PRESIDENT | B | |
| BROOKS, CARL, ALAN | I | EXECUTIVE VICE PRESIDENT | B | |
| BROOKS, CARL, ALAN | I | EXECUTIVE VICE PRESIDENT | B | |
| BROOKS, CARL, ALAN | I | EXECUTIVE VICE PRESIDENT | B | |
| BROOKS, CARL, ALAN | I | EXECUTIVE VICE PRESIDENT | B | |
| BROOKS, CARL, ALAN | I | EXECUTIVE VICE PRESIDENT | B | |
| BROOKS, CARL, ALAN | I | EXECUTIVE VICE PRESIDENT | B | |
| BROOKS, CARL, ALAN | I | EXECUTIVE VICE PRESIDENT | B | |
| BROOKS, CARL, ALAN | I | EXECUTIVE VICE PRESIDENT | B | |
| BROOKS, CARL, ALAN | I | EXECUTIVE VICE PRESIDENT | B | |
| BROOKS, CARL, ALAN | I | EXECUTIVE VICE PRESIDENT | B | |
| BROOKS, CARL, ALAN | I | EXECUTIVE VICE PRESIDENT | B | |
| BROOKS, CARL, ALAN | I | EXECUTIVE VICE PRESIDENT | B | |
| BROOKS, CARL, ALAN | I | EXECUTIVE VICE PRESIDENT | B | |
| BROOKS, CARL, ALAN | I | EXECUTIVE VICE PRESIDENT | B | |
| BROOKS, CARL, ALAN | I | EXECUTIVE VICE PRESIDENT | B | |
| BROOKS, CARL, ALAN | I | EXECUTIVE VICE PRESIDENT | B | |
| BROOKS, CARL, ALAN | I | EXECUTIVE VICE PRESIDENT | B | |
| GRAVES, BENJAMIN, KELLY | I | EXECUTIVE VICE PRESIDENT | B | |
| GRAVES, BENJAMIN, KELLY | I | EXECUTIVE VICE PRESIDENT | B | |
| GRAVES, BENJAMIN, KELLY | I | EXECUTIVE VICE PRESIDENT | B | |
| GRAVES, BENJAMIN, KELLY | I | EXECUTIVE VICE PRESIDENT | B | |
| GRAVES, BENJAMIN, KELLY | I | EXECUTIVE VICE PRESIDENT | B | |
| GRAVES, BENJAMIN, KELLY | I | EXECUTIVE VICE PRESIDENT | B | |
| GRAVES, BENJAMIN, KELLY | I | EXECUTIVE VICE PRESIDENT | B | |
| GRAVES, BENJAMIN, KELLY | I | EXECUTIVE VICE PRESIDENT | B | |
| GRAVES, BENJAMIN, KELLY | I | EXECUTIVE VICE PRESIDENT | B | |
| GRAVES, BENJAMIN, KELLY | I | EXECUTIVE VICE PRESIDENT | B | |
| GRAVES, BENJAMIN, KELLY | I | EXECUTIVE VICE PRESIDENT | B | |
| GRAVES, BENJAMIN, KELLY | I | EXECUTIVE VICE PRESIDENT | B | |
| GRAVES, BENJAMIN, KELLY | I | EXECUTIVE VICE PRESIDENT | B | |
| GRAVES, BENJAMIN, KELLY | I | EXECUTIVE VICE PRESIDENT | B | |
| GRAVES, BENJAMIN, KELLY | I | EXECUTIVE VICE PRESIDENT | B | |
| GRAVES, BENJAMIN, KELLY | I | EXECUTIVE VICE PRESIDENT | B | |
| GRAVES, BENJAMIN, KELLY | I | EXECUTIVE VICE PRESIDENT | B | |
| GRAVES, BENJAMIN, KELLY | I | EXECUTIVE VICE PRESIDENT | B | |
| GRAVES, BENJAMIN, KELLY | I | EXECUTIVE VICE PRESIDENT | B | |
| GRAVES, BENJAMIN, KELLY | I | EXECUTIVE VICE PRESIDENT | B | |
| GRAVES, BENJAMIN, KELLY | I | EXECUTIVE VICE PRESIDENT | B | |
| GRAVES, BENJAMIN, KELLY | I | EXECUTIVE VICE PRESIDENT | B | |
| PATTERSON, JOHN, ANDREW | I | EXECUTIVE VICE PRESIDENT | B | |
| PATTERSON, JOHN, ANDREW | I | EXECUTIVE VICE PRESIDENT | B | |
| PATTERSON, JOHN, ANDREW | I | EXECUTIVE VICE PRESIDENT | B | |
| PATTERSON, JOHN, ANDREW | I | EXECUTIVE VICE PRESIDENT | B | |
| PATTERSON, JOHN, ANDREW | I | EXECUTIVE VICE PRESIDENT | B | |
| PATTERSON, JOHN, ANDREW | I | EXECUTIVE VICE PRESIDENT | B | |
| PATTERSON, JOHN, ANDREW | I | EXECUTIVE VICE PRESIDENT | B | |
| PATTERSON, JOHN, ANDREW | I | EXECUTIVE VICE PRESIDENT | B | |
| PATTERSON, JOHN, ANDREW | I | EXECUTIVE VICE PRESIDENT | B | |
| PATTERSON, JOHN, ANDREW | I | EXECUTIVE VICE PRESIDENT | B | |
| PATTERSON, JOHN, ANDREW | I | EXECUTIVE VICE PRESIDENT | B | |
| PATTERSON, JOHN, ANDREW | I | EXECUTIVE VICE PRESIDENT | B | |
| PATTERSON, JOHN, ANDREW | I | EXECUTIVE VICE PRESIDENT | B | |
| PATTERSON, JOHN, ANDREW | I | EXECUTIVE VICE PRESIDENT | B | |
| PATTERSON, JOHN, ANDREW | I | EXECUTIVE VICE PRESIDENT | B | |
| PATTERSON, JOHN, ANDREW | I | EXECUTIVE VICE PRESIDENT | B | |
| PATTERSON, JOHN, ANDREW | I | EXECUTIVE VICE PRESIDENT | B | |
| PATTERSON, JOHN, ANDREW | I | EXECUTIVE VICE PRESIDENT | B | |
| PATTERSON, JOHN, ANDREW | I | EXECUTIVE VICE PRESIDENT | B | |
| PATTERSON, JOHN, ANDREW | I | EXECUTIVE VICE PRESIDENT | B | |
| PATTERSON, JOHN, ANDREW | I | EXECUTIVE VICE PRESIDENT | B | |
| PATTERSON, JOHN, ANDREW | I | EXECUTIVE VICE PRESIDENT | B |
Registrations
Federal
IA
Mar 24, 2021 REGISTERED
Notice Filings (35)
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Address
4521 SHARON ROAD, SUITE 400CHARLOTTE, NC 28211
United States
Phone: 704-553-8006