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Kevin Carroll

Fiduciary Capital Management LLC
23 Years of Experience
Marlborough, CT
6 Disclosures
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Kevin Carroll is a registered investment advisor at Fiduciary Capital Management LLC, based in Marlborough, CT, with 23 years of industry experience. Kevin operates on a fee-only basis, meaning they do not earn commissions from product sales. Their practice areas include Alternative Investments, Business Owners, Estate Planning, High Net Worth, and 5 more. Their firm serves 74 clients with $150M in assets under management.

Fiduciary Capital Management LLC
Compensation
Fee-Only (% of Portfolio)Fixed/Hourly
Firm Size
14 advisors
Number of Clients
74 clients
Average Client Portfolio
$2.0M average
Assets Under Management
$149.8M

Fee Structure

Minimum Investment:None
Investment management only (planning not offered)
Portfolio-Based Fees (Flat)
Portfolio ValueAnnual Fee
Any2.50%

Maximum annual investment advisory fee is 2.50%. Specific fees are negotiated and outlined in the client agreement.

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

Location

Marlborough, CT

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History

Regulatory History (6)
What are disclosures? Advisors must report customer complaints, regulatory actions, and certain legal or financial events to the SEC. Not all disclosures are serious—many are settled disputes or minor violations. Learn how to evaluate them.
Financial
February 2024
Final
Regulatory
September 2023
Final
Employment Separation After Allegations
July 2021
Financial
June 2021
Final
Judgment / Lien
February 2021
Customer Dispute
February 2015
Settled
View Full SEC ReportHow to Read Disclosures
Employment History
Current Registrations
Fiduciary Capital Management LLC
June 2026 - Present · 4 mos
Previous Registrations
Buell Investment Advisors
September 2021 - March 2022 · 6 mos
Buell Securities CORP.Broker
September 2021 - March 2022 · 6 mos
LPL Financial LLC
February 2019 - August 2021 · 2 yrs 6 mos
LPL Financial LLCBroker
February 2019 - August 2021 · 2 yrs 6 mos
Wells Fargo Clearing Services, LLC
November 2014 - February 2019 · 4 yrs 3 mos
Wells Fargo Clearing Services, LLCBroker
November 2014 - February 2019 · 4 yrs 3 mos
Merrill Lynch, Pierce, Fenner & Smith IncorporatedBroker
September 2008 - November 2014 · 6 yrs 2 mos
Merrill Lynch, Pierce, Fenner & Smith Incorporated
September 2008 - November 2014 · 6 yrs 2 mos
Citigroup Global Markets INC.
November 2007 - October 2008 · 11 mos
Citigroup Global Markets INC.Broker
November 2007 - October 2008 · 11 mos
Banc of America Investment Services, INC.
October 2004 - November 2007 · 3 yrs 1 mo
Banc of America Investment Services, INC.Broker
October 2004 - November 2007 · 3 yrs 1 mo
Quick & Reilly, INC.
August 2002 - October 2004 · 2 yrs 2 mos
Quick & Reilly, INC.Broker
February 2001 - October 2004 · 3 yrs 8 mos
Advest, INC.Broker
February 1999 - February 2001 · 2 yrs
State Registrations1 state
CT
Advisor

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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