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Kathryn Carroll

Advisor at St. Bernard Financial Services, Inc.

Updated today

Location

Beebe, AR

Credentials

Series 63, Series 66

Industry experience

36 years

About

Kathryn Carroll is a financial advisor at St. Bernard Financial Services, Inc. with 36 years of industry experience. She holds Series 63 and Series 66 licenses and has been with St. Bernard Financial Services since 2010. St. Bernard Financial Services provides investment advisory and brokerage services to individuals, families, small businesses, trusts, and estates. The firm follows a long-term, conservative growth approach using tactical asset allocation based on Modern Portfolio Theory, with an emphasis on low-cost, no-load funds and collaborative client relationships.

Client services

Based on St. Bernard Financial Services, Inc.

Portfolio management Educational seminars or workshops

Expertise

Based on St. Bernard Financial Services, Inc.

Annuities General estate planning guidance

Occupation focus

Based on St. Bernard Financial Services, Inc.

Founder/Business Owner

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Fee options

Fixed

Flat fee negotiable for certain advisory services.

Percentage

$0 - $50,000: 2.00% annually $50,001 - $100,000: 1.75% annually $100,001 - $250,000: 1.50% annually $250,001 - $500,000: 1.25% annually $501,000 - $5 million: 1.00% annually $5 million+: Negotiable

Commissions

Commissions received on certain variable insurance products and brokerage transactions; commission amounts vary by product.

Project-based

$125 per hour for consultations and financial planning.

Other

Fee-only: Hourly rate of $125 per hour for consultations and financial planning; typically 8 to 10 hours for a plan.

Location

Beebe, AR

Most active in

Arkansas

Work history

St. Bernard Financial Services, Inc.

2010 - Present (16 years)

Disclosures

Exclamation point means they have disclosures of this type. Check mark means no disclosures of this type were found.

Business activities & affiliations

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Ellis Sloan is a CFA® charterholder with 28 years of industry experience. He is the sole advisor at APEX Wealth Management, an independent firm based in Searcy, Arkansas, where he has worked since 2017. Prior to founding APEX, he was with Kernodle & Katon Tax and Asset Management Group for two years and has served as an assistant professor at Harding University since 2005. APEX Wealth Management serves individuals, high-net-worth clients, charitable organizations, pension and profit-sharing plans, and government entities. The firm uses a modern portfolio theory approach to build diversified portfolios, offers both discretionary and non-discretionary asset management, and provides retirement plan consulting including Investment Policy Statement preparation and participant education.

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