A complete list of active advisors currently associated with Carroll Frank & Plotkin LLC

Warmer can help you find a great advisor at Carroll Frank & Plotkin LLC or one who fits your needs even better.

Carroll, Frank & Plotkin provides portfolio advisory services, non-wrap RASA 044 accounts and comprehensive financial planning to individuals and trust accounts, and offers access to third‑party advisory programs. As of 12/31/2023 the firm reported $0 in discretionary AUM but supervised $22,586,114 in client assets that are managed by third parties. The firm uses fundamental analysis and a long‑term purchase strategy and generally recommends mutual funds, stocks and bonds when constructing portfolios. It also assists clients in the selection and ongoing monitoring of third‑party advisers and offers advisory accounts where clients can impose reasonable investment restrictions. A distinctive operational feature is that all advisory representatives are also registered representatives of Osaic Wealth, Inc., and advisory activity is processed through Osaic Wealth’s clearing relationship with Pershing, which can affect trade routing and supervisory oversight. The firm also discloses the potential to receive commissions from the sale of securities and insurance products and uses negotiable planning fees and flat‑fee arrangements for some financial planning work, which may create conflicts that clients should review.

To learn more about the advisors currently working at Carroll Frank & Plotkin LLC, click on their names below to view their profiles, or click here to see them all on a map. Or, if you tell us about your needs, Warmer can help you find the best advisor for you.