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This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you Andrew? Claim Your ProfileAndrew Carroll is a financial advisor with over 30 years of experience in the industry. Currently, Andrew works at Morgan Stanley where he holds a Series 65 license. Andrew has previously worked for several financial institutions including Morgan Stanley Smith Barney, Morgan Stanley Private Bank, National Association, Citigroup Global Markets Inc. , Lehman Brothers Inc. , Morgan Keegan & Company, Inc. , Cralin & Co., Inc. , Allen & Company of Florida, Inc. , Dean Witter Reynolds Inc. , and Reynolds Securities, Inc. Andrew is registered in 25 states including Florida, Texas, California, Colorado, Delaware, District of Columbia, Georgia, Louisiana, Massachusetts, Minnesota, Mississippi, New Jersey, New Mexico, New York, North Carolina, Ohio, Oregon, Pennsylvania, Puerto Rico, South Carolina, Virginia, Washington, and West Virginia. Andrew has a strong track record of providing investment advice to a wide range of clients, including individuals, families, businesses, and institutions. Andrew’s expertise includes asset allocation, financial planning, portfolio management, and retirement planning.
Advisors offer a broad range of advisory services designed to meet the unique needs of individuals, businesses, and investment companies. These services provide professional guidance and personalized strategies to help clients achieve their financial goals.
Comprehensive financial plans to help you achieve your personal and business goals.
Guidance on pension options to ensure a secure financial future.
Seminars designed to boost your financial literacy and investment knowledge.
Helps you choose top advisors aligned with your financial goals.
Custom portfolio management strategies for businesses to achieve long-term growth.
Personalized portfolio management to meet individual financial objectives.
Strategic management for diversified investment portfolios.
Asset allocation advice
Advisors may be compensated through a variety of fee structures, offering flexibility and transparency. This allows clients to choose the arrangement that best aligns with their financial objectives.
Set rates for specific services, regardless of time or assets managed.
Earned based on transactions or products sold.
A percentage of the total value of assets under management is charged.
Fees calculated based on the performance of your investments relative to a benchmark.
See schedule d miscellaneous
1
2
FL
03/04/2010 - Present
Morgan Stanley (Fort Lauderdale FL)
FL
04/02/2007 - 06/01/2009
MORGAN STANLEY & CO. INCORPORATED (FT. LAUDERDALE FL)
FL
02/16/2007 - 04/02/2007
MORGAN STANLEY DW INC. (FT. LAUDERDALE FL)
FL
07/31/1993 - 03/06/2007
CITIGROUP GLOBAL MARKETS INC. (FT. LAUDERDALE FL)
NY
12/01/1989 - 07/31/1993
LEHMAN BROTHERS INC. (NEW YORK NY)
TN
07/08/1983 - 12/15/1989
MORGAN KEEGAN & COMPANY, INC. (MEMPHIS TN)
NA
04/07/1982 - 05/05/1983
CRALIN & CO., INC.
NA
09/10/1980 - 04/01/1982
ALLEN & COMPANY OF FLORIDA, INC.
NA
02/24/1978 - 09/22/1980
DEAN WITTER REYNOLDS INC.
NA
01/09/1970 - 02/24/1978
REYNOLDS SECURITIES, INC.
IA
Issued 09/09/1994
Series 65 - Uniform Investment Adviser Law Examination
BC
Issued 12/27/1989
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 12/10/1982
Series 4 - Registered Options Principal Examination
BC
Issued 01/06/1968
Series 40 - Registered Principal Examination
BC
Issued 01/02/2023
Series 7TO - General Securities Representative Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 06/29/2005
Series 31 - Futures Managed Funds Examination
BC
Issued 08/04/1959
Series 1 - Registered Representative Examination
Active
Inactive
F
FINRA
N
NYSE American LLC
N
Nasdaq Stock Market
N
New York Stock Exchange
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