Carroll Financial Associates Inc

Investment Advisor
in Charlotte, NC
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About this Advisor

David Peters is a certified financial planner and chartered financial consultant working in Charlotte, North Carolina, who has 14 years of financial industry experience. Peters is on the advisory team at Carroll Financial Associates Inc. Throughout their career, they have worked at Compare.Com Insurance Agency, LLC, Carroll Financial Associates, The American College, Va Society Of Cpa, Strayer University, Greater Richmond Cpcu Society, Elephant Insurance Services, LLC, Chesapeake Capital Corporation, David Peters, Cpa and Virginia Commonwealth University. Peters has a Series 63 license, qualifying them as a securities representative, and is registered to work in North Carolina. Carroll Financial Associates Inc is a registered investment company headquartered in Charlotte, North Carolina. It has offices in four locations and a total of 43 advisors. It controls $3 billion in total assets across its 6,259 client accounts, placing it among the biggest investment advisory firms in the nation by assets under management. The firm serves 11 charities and foundations. Of its 6,259 customer accounts, just 14% are held by high-net-worth investors who have more than $1 million in investable assets. The firm offers a wide array of services, such as financial planning services, portfolio management for individuals and small businesses, portfolio management for institutional clients, pension consulting services, publication of newsletters and educational seminars. A financial advisor's fee schedules typically depend on which services the firm provides the client. However, fees charged by Carroll Financial Associates Inc likely include some blend of asset-based, hourly and fixed fees.

Certifications and Registrations

Series 63, Certified Financial Planner, Chartered Financial Consultant

Years of Experience

14 years

Services Offered

Financial planning services, Portfolio management for individuals and/or small businesses, Portfolio management for businesses or institutional clients, Pension consulting services, Publication of periodicals or newsletters, Educational seminars/workshops

Fee Structure

Percentage of Assets, Hourly Charges, Fixed Fees



Office Location

4201 Congress Street, Ste 210
Charlotte, NC 28209

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Carroll Financial Associates Inc Brokerage Details

Total Assets Under Management


NC Average: $3,625,019,099
Total Number of Employees


NC Average: 22
Total Number of Accounts


NC Average: 1,917
Average Account Size


NC Average: $1,890,985

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Investment Advisory Services

  • Financial planning services
  • Portfolio management for individuals and/or small businesses
  • Portfolio management for businesses or institutional clients
  • Pension consulting services
  • Publication of periodicals or newsletters
  • Educational seminars/workshops

David Peters Work History

David has 14 years of experience.

2018 - Present (1 year)

Kaplan Test Preperation & Kaplan Professional Education

2017 - Present (2 years)

Va Society Of Cpa

2017 - Present (2 years)

Peters Tax Preparation & Consulting

2017 - Present (2 years)

Winthrop University

2015 - Present (4 years)

Carroll Financial Associates

2004 - Present (15 years)

David Peters, Cpa

2015 - 2018 (3 years)

The American College

2015 - 2015 (< 1 year)

Strayer University

2013 - 2015 (2 years)

Greater Richmond Cpcu Society

2012 - 2015 (3 years)

Compare.Com Insurance Agency, LLC

2012 - 2012 (< 1 year)

Primerica, Inc

2009 - 2012 (3 years)

Elephant Insurance Services, LLC

2009 - 2011 (2 years)

Virginia Commonwealth University

2006 - 2009 (3 years)

Chesapeake Capital Corporation


David Peters has no disclosures.

Please visit their SEC profile for more details.

This content was compiled from the SEC and FINRA.

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