Carroll Financial Associates Inc

Investment Advisor
in Hickory, NC

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About this Advisor

Katherine Newton is a certified financial planner and chartered financial consultant who lives in Hickory, North Carolina. Currently a registered advisor with Carroll Financial Associates Inc, Newton has 19 years of professional experience. Newton has a Series 63 license, which certifies them as a securities representative. Newton is able to operate based out of Louisiana, North Carolina and Texas. Newton has gained experience at Financial Network Inv. Corp, Cetera Advisor Networks LLC, Carroll Financial Associates, Inc and Waite Financial LLC. Carroll Financial Associates Inc is based out of Hickory, North Carolina, and has five additional offices in the nation. In aggregate, Carroll Financial Associates Inc manages $4 billion in assets across 8,704 client accounts and employs more than 52 people. The amount of assets the firm manages makes it one of the biggest investment advisory firms in the United States. The firm manages 8,216 accounts on a discretionary basis, meaning the advisor has the authority to make all investment decisions. Currently 18% of the firm's customers are high-net-worth individuals, meaning they have over $1 million in capital. Carroll Financial Associates Inc can offer financial planning services, portfolio management for individuals and small businesses, portfolio management for institutional clients, pension consulting services, publication of newsletters and educational seminars. The firm's fees may include asset-based, hourly and fixed fees.

Certifications and Registrations

Series 63, CERTIFIED FINANCIAL PLANNER™, Chartered Financial Consultant

Years of Experience

19 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

Hickory, NC

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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

Katherine Newton Work History

Katherine has 19 years of experience.

2015 - Present (6 years)

Carroll Financial Associates, Inc

2013 - Present (8 years)

Cetera Advisor Networks LLC

2004 - Present (17 years)

Waite Financial LLC

2001 - 2012 (11 years)

Financial Network Inv. Corp


Katherine Newton has no disclosures.

Please visit their SEC profile for more details.

Financial Advisors at Carroll Financial Associates Inc

Denis Curcio
Charlotte, NC
Emily Reidenouer
Charlotte, NC
Sarah Lephew
Rock Hill, SC
Kellen Taylor
Charlotte, NC
Robert Stewart
Charlotte, NC
Taylor Watts
Charlotte, NC
Christopher Dillon
Charlotte, NC
John Hall
Charlotte, NC

This content was compiled from the SEC and FINRA.

Certified Financial Planner Board of Standards, Inc. (CFP Board) owns the certification marks CFP® and CERTIFIED FINANCIAL PLANNER™ in the United States, which it authorizes use of by individuals who successfully complete CFP Board’s initial and ongoing certification requirements.

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