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Stephen Lee Carroll

Allstate Financial Services, LLC

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About Stephen Lee Carroll

Stephen Lee Carroll is a financial advisor with over 25 years of experience in the financial services industry. Stephen is currently registered with Allstate Financial Services, LLC and is also licensed in Georgia, Idaho and Utah. Stephen's career includes experience with Premier Securities of America, Inc., American General Securities Incorporated and Washington Square Securities, Inc. Stephen is a Series 6, 63, 26 and 65 licensed advisor.

Firm Information

Stephen Carroll is currently registered with Allstate Financial Services, LLC. Allstate Financial Services, LLC, is a Limited Liability Company formed in November 1999. The firm is registered in all 50 states and the District of Columbia.

Not reported

Assets Under Management

Not reported

Total Clients

4,147

Total Financial Advisors

Services Offered

Advisors offer a broad range of advisory services designed to meet the unique needs of individuals, businesses, and investment companies. These services provide professional guidance and personalized strategies to help clients achieve their financial goals.

Fee Structure

Advisors may be compensated through a variety of fee structures, offering flexibility and transparency. This allows clients to choose the arrangement that best aligns with their financial objectives.

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Stephen Carroll’s Registration & Firm History

UT

09/10/2009 - Present

Allstate Financial Services, LLC (Provo UT)

GA

03/14/2005 - 12/31/2008

PREMIER SECURITIES OF AMERICA, INC. (SUWANEE GA)

AZ

01/31/2003 - 03/16/2005

AMERICAN GENERAL SECURITIES INCORPORATED (PHOENIX AZ)

CT

11/15/1996 - 01/31/2003

WASHINGTON SQUARE SECURITIES, INC. (WINDSOR CT)

CT

12/13/1994 - 11/07/1995

WASHINGTON SQUARE SECURITIES, INC. (WINDSOR CT)

FL

10/25/1994 - 11/16/1994

MARINER FINANCIAL SERVICES, INC. (LARGO FL)

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Licenses & Designations

IA

Issued 11/03/2003

Series 65 - Uniform Investment Adviser Law Examination

BC

Issued 09/23/1994

Series 63 - Uniform Securities Agent State Law Examination

BC

Issued 05/23/2000

Series 26 - Investment Company Products/Variable Contracts Principal Examination

BC

Issued 10/01/2018

SIE - Securities Industry Essentials Examination

BC

Issued 10/24/1994

Series 6 - Investment Company Products/Variable Contracts Representative Examination

State Registrations

Active

Inactive

SRO Registrations

F

FINRA

Disclosures

There are no public disclosures for Stephen Lee Carroll.
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