New Client Process


Are you just learning about Carroll Retirement Plans & Investments?  We have a 20+ year track record of providing sound and proven financial advice for our clients.  Are you interested in working with us to meet your retirement goals?  Please visit our Contact Us page to send an email to our onboarding specialist and a licensed member of our team will contact you in one-two business days.

Not comfortable sending an email?  We understand. Please call our office and a licensed team member will go through the process with you step-by-step over the phone, or schedule a time for you to stop by and complete the Confidential Profile here in our office with our assistance.  There are many ways to begin the process; we’ll use the method that is the easiest for you.  More infomration on the process is listed below.


Step One: Confidential Profile

Our primary focus is helping people reach their financial goals.  We ask for this information to help us get to know you and understand your investment needs.  Via phone, email, or in person, we will gather your personal information and review your current financial status.


Step Two: Documents Needed for Planning

The Documents Needed for Planning (DN4P) checklist will help you gather the information we need to review prior to scheduling your initial consultation.  Not all items listed are relevant, but we ask that you please provide copies of all applicable items.  Once we receive this information, you will be assigned to the advisor who is the best fit for your unique financial needs.  Each of our advisors has their own area of expertise, and we want to make sure your advisor is the best person to represent you.  Within a few days of receiving all required items, you can expect to hear from a member of our Client Services team to schedule your consultation. 


Step Three: Risk Tolerance 

Risk tolerance is a measurement of an investor’s willingness or ability to handle market fluctuation.  Are you properly allocated?  Are your investments the right choice for your acceptable level of risk?  We can help you find out.  Take a complimentary Riskalyze quiz.  Riskalyze provides licensed investment advisors the ability to capture risk tolerance and verify suitability for their clients.