Carroll Financial

  

Mission

Carroll Financial Associates’ mission is to assist you in pursuing your financial goals by providing creative, intelligent solutions and quality financial services. We believe that you should be treated fairly, ethically, and respectfully and receive competent, courteous service and advice at a fair price.

 

Carroll Financial’s Objectives

1. To provide our clients with the highest quality financial planning and asset management services available in the marketplace
2. To use our knowledge and expertise to develop and offer creative services and the most effective solutions to meet our clients’ needs and assist them with achieving their financial goals
3. To conduct our business with integrity, openness and candor while keeping our clients’ best interests at the center of all decision making
4. To remain ahead of the financial planning and asset management industry, and ever- changing regulatory landscape

 

Independent Registered Investment Advisor

At Carroll Financial we uphold the Fiduciary Standards required of a Registered Investment Advisor (RIA) by the Securities and Exchange Commission (SEC). The standard states that an advisor must act solely in the best interest of the client, even if that interest is in conflict with the advisor's financial interest. Only a small portion of "financial advisors" are federal or state Registered Investment Advisors. Most financial advisors are considered "Broker-Dealers" by the SEC, and are required to be "fair and suitable" in their recommendations. However, they have no legal obligation to put your interest ahead of their personal or firm's interest. At Carroll Financial our clients' interest always comes first.

We believe our obligation extends beyond our investment choices. Putting our clients’ best interest is the primary consideration in everything we do and is an extension of the relationships we build with each and every client.

 

 The Bottom Line

Our purpose is to develop long relationships with our clients and their families by combining our areas of expertise with our clients’ investment management and planning needs.