Kevin Carroll
Investment Adviser Representative
Marlborough, Connecticut
Kevin Carroll is an experienced financial-services professional with more than 25 years of experience serving individual investors, executives, institutions, and financial advisers. His background includes portfolio construction, investment research, lending strategies, concentrated-stock planning, client relationship management, and financial-services leadership.
About Kevin
Kevin Carroll is an Investment Adviser Representative with Fiduciary Capital Management LLC. He has more than 25 years of experience serving individual investors, executives, institutions, high-net-worth families, and financial advisers.
During his career, Kevin has held advisory and leadership roles with major financial institutions including Merrill Lynch, Wells Fargo Advisors, LPL Financial, Citigroup/Smith Barney, Bank of America Investment Services, Quick & Reilly, and Advest.
Kevin has worked with complex investment portfolios, concentrated-stock positions, institutional accounts, high-net-worth and ultra-high-net-worth relationships, mutual fund research, lending strategies, adviser recruitment, and client relationship management.
Adviser Philosophy
Kevin believes effective investment advice should begin with a careful understanding of the client’s goals, financial circumstances, investment experience, time horizon, liquidity needs, risk tolerance, and existing holdings.
His approach emphasizes practical analysis, clear communication, disciplined portfolio construction, prudent risk management, and helping clients understand the purpose, costs, benefits, and risks of the strategies being considered.
Recommendations are evaluated in the context of the client’s broader financial picture rather than as isolated investment products.
Client Focus
- Individuals and families seeking ongoing investment guidance
- High-net-worth and ultra-high-net-worth households
- Executives with concentrated employer-stock positions
- Institutions and organizations with portfolio-management needs
- Business owners evaluating lending, liquidity, and investment strategies
- Financial advisers seeking experienced investment and practice-management perspective
Areas of Focus
Portfolio Construction
Developing diversified portfolio strategies based on client objectives, risk tolerance, time horizon, liquidity needs, and investment restrictions.
Concentrated-Stock Planning
Helping executives and investors evaluate diversification, risk, liquidity, tax coordination, and long-term planning considerations involving concentrated positions.
Investment Research
Reviewing mutual funds, portfolio structure, investment characteristics, costs, risk, diversification, and portfolio relevance.
Lending Strategies
Helping clients consider lending and liquidity strategies within the context of their broader financial circumstances and investment objectives.
Institutional Relationships
Supporting institutional accounts and professional relationships that require experienced communication, portfolio context, and ongoing service.
Adviser & Practice Support
Drawing on leadership, adviser recruitment, and industry experience to support financial professionals and advisory practices.
Advisory Services
As an Investment Adviser Representative of Fiduciary Capital Management LLC, Kevin may provide:
- Investment-objective and risk-tolerance assessment
- Portfolio review, construction, and ongoing management
- Asset-allocation and diversification analysis
- Concentrated-stock and liquidity planning support
- Retirement-account and long-term investment guidance
- Coordination of investment strategy with broader financial planning considerations
Advisory services are subject to applicable agreements, firm approval, client eligibility, account acceptance, and regulatory requirements.
Professional Leadership
In addition to his client-advisory experience, Kevin is a Co-Founder of the Federation for American Financial Advisors. Through that work, he has assisted advisers and firms with matters involving FINRA, arbitration, wrongful termination, promissory notes, professional transitions, and related industry issues.
He has also recruited and coordinated with financial-services consultants and attorneys to help advisers facing professional, employment, and regulatory challenges.
Education & Securities Examinations
- Bachelor of Arts in Finance, University of Connecticut
- Minor in Mathematics, University of Connecticut
- Series 7 – General Securities Representative Examination
- Series 24 – General Securities Principal Examination
- Series 66 – Uniform Combined State Law Examination
- Securities Industry Essentials Examination
Regulatory Information
Kevin Joseph Carroll is registered as an Investment Adviser Representative of Fiduciary Capital Management LLC in Connecticut. His personal CRD number is 3124942.
Kevin’s current public regulatory reports include reportable disclosure events. Clients and prospective clients should review the complete IAPD and BrokerCheck reports for the nature, status, and disposition of each reported matter.
Investment Adviser Representative Disclosure
Kevin Carroll provides investment advisory services through Fiduciary Capital Management LLC. All services are subject to applicable investment advisory agreements, firm policies, regulatory requirements, client eligibility, and account acceptance. Kevin’s public regulatory record includes reportable disclosure events, and clients should review his current IAPD and BrokerCheck reports before engaging his services. Information presented on this page is general and educational and should not be interpreted as individualized investment, tax, accounting, insurance, or legal advice.
Start a Conversation
Contact Kevin to discuss your investment objectives, portfolio structure, concentrated-stock concerns, retirement planning, institutional needs, or interest in fiduciary portfolio oversight.
Request a Meeting