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Sean Carroll

Ameriprise Financial Services, LLC
32 Years of Experience
Atlanta, GA
1 DisclosureBroker
View SEC Summary
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Sean Carroll is a registered investment advisor at Ameriprise Financial Services, LLC, based in Atlanta, GA, with 32 years of industry experience. Sean is also registered as a broker, so some compensation may come from commissions on products sold. Their practice areas include Business Owners, Charitable Giving, Corporate Executives, Education Planning, and 6 more. Their firm serves 1,386,329 clients with $660B in assets under management.

Ameriprise Financial Services, LLC
Compensation
Fee-Only (% of Portfolio)Fixed/Hourly
Firm Size
12955 advisors
Number of Clients
1,386,329 clients
Average Client Portfolio
$476K average
Assets Under Management
$660.5B

Fee Structure

Minimum Investment:$2K
Planning is included in investment management (also available separately)
Portfolio-Based Fees (Flat)
Portfolio ValueAnnual Fee
Any2.00%

The maximum total annual advisory fee is 2.0% of managed account assets. Fees are negotiable with your financial advisor and vary based on the specific program and services selected.

Fee Estimator
Your Portfolio Value
$500K
$0$500K$1M$5M$20M
Estimated Annual Fee
—
View Full SEC Brochure

Location

6285 Barfield Rd, Ste 250, Atlanta, GA, 30328-4321

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History

Regulatory History (1)
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Customer Dispute
May 2007
Withdrawn
View Full SEC ReportHow to Read Disclosures
Other Business Activities

Sean has business ownership roles in Southeastern Business Endeavors, LLC (staffing business), Forged Management (aircraft leasing), Ptarmigan Endeavors, LLC (aircraft purchase), and Oxygen, Inc (dormant). He also works as CEO of Southeastern Business Endeavors, LLC, dedicating about 10-20% of his time to this role.

Employment History
Current Registrations
Ameriprise Financial Services, LLC
March 2003 - Present · 23 yrs 7 mos
Ameriprise Financial Services, LLC
December 1993 - Present · 32 yrs 10 mos
Ameriprise Financial Services, LLCBroker
December 1993 - Present · 32 yrs 10 mos
Previous Registrations
Ids Life Insurance CompanyBroker
March 1994 - July 2006 · 12 yrs 4 mos
State Registrations37 states
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AdvisorBrokerBoth

You can work with an advisor not registered in your state. Most advisors can legally serve a small number of clients across state lines without registering.

Exams
No exam information available for this advisor.
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