AdFi
KJ

Kevin James Carroll

Investment Adviser Representative at WAVERLY ADVISORS, LLC

Boston, MACRD #2227916Dual-registered
No disclosures on record
Sourced from SEC IAPD & FINRA BrokerCheck
Years of Experience
30 yrs
States Registered
1 states
Exams Passed
10

Registrations & licenses

Registration type
Dual-registered
Registered in 1 states
Massachusetts
Examinations passed
Series 65
Uniform Investment Adviser Law Examination
Passed 12/10/2024
Series 63
Uniform Securities Agent State Law Examination
Passed 10/1/2001
Series 3
National Commodity Futures Examination
Passed 10/18/2023
Series 72
Government Securities Representative Examination
Passed 1/2/2023
Series 57
Securities Trader Exam
Passed 1/2/2023
SIE
Securities Industry Essentials Examination
Passed 10/1/2018
Series 87
Research Analyst Exam - Part II Regulations Module
Passed 3/8/2011
Series 55
Limited Representative-Equity Trader Exam
Passed 6/25/2001
Series 7
General Securities Representative Examination
Passed 5/31/1995
Series 24
General Securities Principal Examination
Passed 2/12/2004

Approximate fees

Estimated from the firm's Form ADV — individual terms may differ. Not a quote.

Primary fee model
Assets Under Management (AUM)
Source

Waverly Advisors, LLC Form ADV Part 2A (Item 5), most recent annual amendment.

Employment history

Registration history as reported to FINRA, most recent first.

WAVERLY ADVISORS, LLCCurrent
10/21/2025 – Boston, MA
LIGHTSPEED FINANCIAL SERVICES GROUP LLC
1/21/2025 – 9/5/2025Morristown, NJ
ATREYU TRADING
10/5/2021 – 11/15/2024Boston,, MA
WILLIAM O'NEIL SECURITIES INCORPORATED
2/12/2016 – 7/31/2020Boston, MA
STATE STREET GLOBAL MARKETS, LLC
12/2/2011 – 6/30/2015Boston, MA
PULSE TRADING, INC.
4/12/2002 – 12/2/2011Boston, MA
GARBAN LLC
3/26/1992 – 11/15/1999New York, NY

Official records & sources

FINRA BrokerCheck record
Official broker registration & regulatory record
SEC IAPD record
SEC investment adviser registration record

Data as of August 9, 2026 · Source: SEC IAPD & FINRA BrokerCheck

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View WAVERLY ADVISORS, LLC firm profile
About this profile

This profile was compiled and published by AdvisorFinder as editorial content using publicly available information from the SEC's IAPD database and FINRA BrokerCheck. Kevin James Carroll has not reviewed, approved, or endorsed this profile and is not responsible for its accuracy. Regulatory records change over time — always verify the current record directly on BrokerCheck or SEC.gov before making any decision. AdvisorFinder may be compensated for referrals generated through this page.

Kevin James Carroll - Financial Advisor in Boston, MA | AdvisorFinder