| Advisor Profile |
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Business Description |
| Charles Carroll Financial Partners is an independent financial planning and wealth management firm established to assist and enhance the journey toward the financial goals and aspirations of our clients. With decades of wealth management experience, Charles Carroll brings to our clients a comprehensive financial map that will assist our clients throughout their financial lives. |
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General Information |
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| Name of Custodial Firm: |
Charles Schwab
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| States Licensed in: |
MA, VA,
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| States Willing to do Business in: |
All States
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| Years of Experience in Financial Services: |
20
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| Number of Years with Current Firm: |
2
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| Work Experience: |
Our firm is built on 20 years of managing money
for clients with our proprietary model that uses
individual securities, individual bonds, and ETFs.
Bill's experience in the money management arena
has been fostered by positions at Merrill
Lynch,Fisher Investments, and most recently
Fidelity Investments. These positions have all
been customer relationship based with emphasis in
understanding and meeting the financial needs of
his clients.
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| I work with the following types of clients: |
Businesses, Individual Investors, Non-Profit Organizations
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Education |
| Academic Background |
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Bachelor of Arts degree - Marquette University
MBA - Suffolk University
CERTIFIED FINANCIAL PLANNER
ACCREDITED WEALTH MANAGEMENT ADVISOR |
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Services |
| Investment Types: |
Exchange Traded Funds (ETFs), Bonds, Stocks, Annuities, Mortgages & Real Estate, Commodities
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Qualifications & Memberships |
| Certifications, Accreditations & Designations: |
CERTIFIED FINANCIAL PLANNER™ Certificant
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| Securities Licenses: |
Series 9, Series 7, Series 10, Series 63, Series 65
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| Insurance and Annuity Licenses: |
Variable Annuity, Health, Annuity
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| Financial Organization Memberships: |
Financial Planning Association (FPA)
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Firm Information |
| Number of Advisors in Office: |
Up to 10 employees
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| I work with clients as part of a team: |
Yes
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| Firm's Number of Clients: |
40
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| Firm's Number of Planning Clients: |
30
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| Firm's Number of Managed Clients: |
40
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| Assets Managed by Firm: |
$30,000,000+
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Compliance |
| Registered Investment Advisor: |
Yes
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| Investment Advisor Representative: |
Yes
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| I am an acknowledged fiduciary: |
Yes
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| Compliance Disclosures in Last 5 years: |
I have a clean record
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| Criminal Disclosures in Last 5 years: |
I have a clean record
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Compensation & Fees |
| Fee Structure: |
I am a fee-only financial professional
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| Minimum Portfolio Size for New Managed Accounts: |
$200,000
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| Compensation Methods: |
Based on Assets
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| Additional Details on Charges: |
$200K < $350K 1.20%
$350K < $500K 1.10%
$500K < $750K 1.00%
$750K < $1000K .90%
$1000K < $1500K .80%
$1500K < $2000K .70%
> $2,000,000 .60%
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| Minimum Fee Charged for Managed Accounts: |
$2500.00
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| Prepared By: |
Bill Hayes, CFP® |
Frequently Asked Questions |
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Do you have a customer satisfaction or refund policy? |
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There are no penalties or fees associated with the closing of an account. A client may close out their relationship with Charles Carroll in writing by faxing or mailing the request to our offices. |
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What services do you provide? What are your specialties? |
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What is your experience? How many clients do you currently manage? |
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How do you charge for your services? |
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What are your qualifications? |
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What is your approach to 401 K plan rollovers? |
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How many years of experience do you have? |
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What are your fees for this service? |
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How many 401K rollover clients do you currently manage? |
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Why should I roll over my 401K plan to your firm? |
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