Our Process
At Carroll Financial Group, our goal is to work closely with our clients to ensure that you have a thorough understanding about how we approach investing your assets. We provide comprehensive financial planning, tax planning, investment management and estate planning for retirees, successful individuals, families and small businesses. Our focus is fee-based financial planning and investments.
We help clients achieve their financial objectives through a long-term financial planning relationship. We accomplish this through a commitment to quality advice and service and by giving clients access to a full range of products and services.
We have tested and refined our process by adopting the following principles :
- We serve as a fiduciary, with a legal and moral responsibility to represent your interests.
- We do not act as a custodian or take possession of your assets, but instead utilize the services of trusted custodians to perform this function.
- We work with you to understand and develop a long-term plan that addresses your individual needs.
- We communicate frequently and openly with you to ensure that the decisions we make are consistent with your objectives, needs and circumstances.
Why use an Independent Financial Advisor?
-
Unlike large national brokerages or financial planning firms, we are not tied to specific investment products. That means you get to choose the options that make the most sense for your goals and objectives.
We work with many different investment companies and asset managers, so we can suggest the solutions that are right for you. Through Carroll Financial Group, you have access to thousands of investments. Rather than being tied to specific investments, we strive to do what is best for you – creating a personalized investment strategy that helps meets your goals, your time frames, and your tolerance for risk.
Lastly, you should hold us to a higher standard. You won’t see Carroll Financial Group being investigated for mutual fund trading improprieties, insider trading, research conflicts of interest, and favoring certain clients over others.
Who are your Clients?
-
Unlike large national brokerages or financial planning firms, we are not tied to specific investment products. That means you get to choose the options that make the most sense for your goals and objectives.
We work with many different investment companies and asset managers, so we can suggest the solutions that are right for you. Through Carroll Financial Group, you have access to thousands of investments. Rather than being tied to specific investments, we strive to do what is best for you – creating a personalized investment strategy that helps meets your goals, your time frames, and your tolerance for risk.
Lastly, you should hold us to a higher standard. You won’t see Carroll Financial Group being investigated for mutual fund trading improprieties, insider trading, research conflicts of interest, and favoring certain clients over others.
What is your Investment Philosophy?
-
Unlike large national brokerages or financial planning firms, we are not tied to specific investment products. That means you get to choose the options that make the most sense for your goals and objectives.
We work with many different investment companies and asset managers, so we can suggest the solutions that are right for you. Through Carroll Financial Group, you have access to thousands of investments. Rather than being tied to specific investments, we strive to do what is best for you – creating a personalized investment strategy that helps meets your goals, your time frames, and your tolerance for risk.
Lastly, you should hold us to a higher standard. You won’t see Carroll Financial Group being investigated for mutual fund trading improprieties, insider trading, research conflicts of interest, and favoring certain clients over others.
Do you provide Retirement Planning services?
-
Unlike large national brokerages or financial planning firms, we are not tied to specific investment products. That means you get to choose the options that make the most sense for your goals and objectives.
We work with many different investment companies and asset managers, so we can suggest the solutions that are right for you. Through Carroll Financial Group, you have access to thousands of investments. Rather than being tied to specific investments, we strive to do what is best for you – creating a personalized investment strategy that helps meets your goals, your time frames, and your tolerance for risk.
Lastly, you should hold us to a higher standard. You won’t see Carroll Financial Group being investigated for mutual fund trading improprieties, insider trading, research conflicts of interest, and favoring certain clients over others.
Do you provide Estate Planning services?
-
Unlike large national brokerages or financial planning firms, we are not tied to specific investment products. That means you get to choose the options that make the most sense for your goals and objectives.
We work with many different investment companies and asset managers, so we can suggest the solutions that are right for you. Through Carroll Financial Group, you have access to thousands of investments. Rather than being tied to specific investments, we strive to do what is best for you – creating a personalized investment strategy that helps meets your goals, your time frames, and your tolerance for risk.
Lastly, you should hold us to a higher standard. You won’t see Carroll Financial Group being investigated for mutual fund trading improprieties, insider trading, research conflicts of interest, and favoring certain clients over others.
Will client information be kept confidential?
-
Unlike large national brokerages or financial planning firms, we are not tied to specific investment products. That means you get to choose the options that make the most sense for your goals and objectives.
We work with many different investment companies and asset managers, so we can suggest the solutions that are right for you. Through Carroll Financial Group, you have access to thousands of investments. Rather than being tied to specific investments, we strive to do what is best for you – creating a personalized investment strategy that helps meets your goals, your time frames, and your tolerance for risk.
Lastly, you should hold us to a higher standard. You won’t see Carroll Financial Group being investigated for mutual fund trading improprieties, insider trading, research conflicts of interest, and favoring certain clients over others.
What is your fee schedule?
-
Unlike large national brokerages or financial planning firms, we are not tied to specific investment products. That means you get to choose the options that make the most sense for your goals and objectives.
We work with many different investment companies and asset managers, so we can suggest the solutions that are right for you. Through Carroll Financial Group, you have access to thousands of investments. Rather than being tied to specific investments, we strive to do what is best for you – creating a personalized investment strategy that helps meets your goals, your time frames, and your tolerance for risk.
Lastly, you should hold us to a higher standard. You won’t see Carroll Financial Group being investigated for mutual fund trading improprieties, insider trading, research conflicts of interest, and favoring certain clients over others.
How do you price your financial planning services?
-
Unlike large national brokerages or financial planning firms, we are not tied to specific investment products. That means you get to choose the options that make the most sense for your goals and objectives.
We work with many different investment companies and asset managers, so we can suggest the solutions that are right for you. Through Carroll Financial Group, you have access to thousands of investments. Rather than being tied to specific investments, we strive to do what is best for you – creating a personalized investment strategy that helps meets your goals, your time frames, and your tolerance for risk.
Lastly, you should hold us to a higher standard. You won’t see Carroll Financial Group being investigated for mutual fund trading improprieties, insider trading, research conflicts of interest, and favoring certain clients over others.
Are your fees tax deductible?
-
Unlike large national brokerages or financial planning firms, we are not tied to specific investment products. That means you get to choose the options that make the most sense for your goals and objectives.
We work with many different investment companies and asset managers, so we can suggest the solutions that are right for you. Through Carroll Financial Group, you have access to thousands of investments. Rather than being tied to specific investments, we strive to do what is best for you – creating a personalized investment strategy that helps meets your goals, your time frames, and your tolerance for risk.
Lastly, you should hold us to a higher standard. You won’t see Carroll Financial Group being investigated for mutual fund trading improprieties, insider trading, research conflicts of interest, and favoring certain clients over others.
Is there a cost for the first meeting?
-
Unlike large national brokerages or financial planning firms, we are not tied to specific investment products. That means you get to choose the options that make the most sense for your goals and objectives.
We work with many different investment companies and asset managers, so we can suggest the solutions that are right for you. Through Carroll Financial Group, you have access to thousands of investments. Rather than being tied to specific investments, we strive to do what is best for you – creating a personalized investment strategy that helps meets your goals, your time frames, and your tolerance for risk.
Lastly, you should hold us to a higher standard. You won’t see Carroll Financial Group being investigated for mutual fund trading improprieties, insider trading, research conflicts of interest, and favoring certain clients over others.
What is your ongoing service policy?
-
Unlike large national brokerages or financial planning firms, we are not tied to specific investment products. That means you get to choose the options that make the most sense for your goals and objectives.
We work with many different investment companies and asset managers, so we can suggest the solutions that are right for you. Through Carroll Financial Group, you have access to thousands of investments. Rather than being tied to specific investments, we strive to do what is best for you – creating a personalized investment strategy that helps meets your goals, your time frames, and your tolerance for risk.
Lastly, you should hold us to a higher standard. You won’t see Carroll Financial Group being investigated for mutual fund trading improprieties, insider trading, research conflicts of interest, and favoring certain clients over others.
Do you accept referrals?
-
Unlike large national brokerages or financial planning firms, we are not tied to specific investment products. That means you get to choose the options that make the most sense for your goals and objectives.
We work with many different investment companies and asset managers, so we can suggest the solutions that are right for you. Through Carroll Financial Group, you have access to thousands of investments. Rather than being tied to specific investments, we strive to do what is best for you – creating a personalized investment strategy that helps meets your goals, your time frames, and your tolerance for risk.
Lastly, you should hold us to a higher standard. You won’t see Carroll Financial Group being investigated for mutual fund trading improprieties, insider trading, research conflicts of interest, and favoring certain clients over others.