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Brian James Carroll

Prudential Investment Management Services LLC

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About Brian James Carroll

Brian Carroll is a financial advisor with Prudential Investment Management Services LLC, based in Newark, NJ. Brian has been in the financial services industry since 1995. Brian is registered with the Financial Industry Regulatory Authority (FINRA) and holds the following licenses: Series 6, 7, 26, 63, and 65. Brian also holds the SIE designation.

Firm Information

Brian Carroll is currently registered with Prudential Investment Management Services LLC. Prudential Investment Management Services LLC is a Limited Liability Company formed on October 9, 1996. It is registered in all 50 states, the District of Columbia, Puerto Rico, and the Virgin Islands. The firm has one approved SEC registration.

Not reported

Assets Under Management

Not reported

Total Clients

315

Total Financial Advisors

Services Offered

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.

Fee Structure

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.

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Brian Carroll’s Registration & Firm History

NJ

12/13/2021 - Present

Prudential Investment Management Services LLC (NEWARK NJ)

MA

01/02/2014 - 05/01/2020

FUNDS DISTRIBUTOR, LLC (BOSTON MA)

MA

03/13/2006 - 12/31/2013

OLD MUTUAL INVESTMENT PARTNERS (BOSTON MA)

MA

09/12/2002 - 12/03/2004

ADVISORY GROUP EQUITY SERVICES LTD. (READING MA)

MA

11/04/1996 - 06/07/2000

NVEST FUNDS DISTRIBUTOR, L.P. (BOSTON MA)

NY

07/19/1995 - 12/31/1996

NEW ENGLAND SECURITIES (NEW YORK NY)

NA

11/07/1990 - 09/09/1993

TNE INVESTMENT SERVICES CORPORATION

MA

07/13/1990 - 10/10/1990

PUTNAM FINANCIAL SERVICES, INC. (BOSTON MA)

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Licenses & Designations

IA

Issued 03/08/2001

Series 65 - Uniform Investment Adviser Law Examination

BC

Issued 06/05/1990

Series 63 - Uniform Securities Agent State Law Examination

BC

Issued 01/02/2023

Series 26 - Investment Company Products/Variable Contracts Principal Examination

BC

Issued 10/01/2018

SIE - Securities Industry Essentials Examination

BC

Issued 11/26/1997

Series 7 - General Securities Representative Examination

BC

Issued 07/12/1990

Series 6 - Investment Company Products/Variable Contracts Representative Examination

State Registrations

Active

Inactive

SRO Registrations

F

FINRA

Disclosures

There are no public disclosures for Brian James Carroll.
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