Unclaimed
Charles Carroll is a financial advisor with Edward Jones. Charles has been in the financial services industry since 1994 and has experience working with a variety of clients, including individuals, families, businesses, and retirement plans. Charles has a strong commitment to providing personalized financial advice and helping clients achieve their financial goals. Charles holds the Series 7, 63, 65, and 66 securities licenses and is a Certified Financial Planner.
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.
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.
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.
A percentage of the total value of assets under management is charged.
See schedule d - miscellaneous
1
2
CT
01/23/2025 - Present
Edward Jones (NORTH HAVEN CT)
NE
04/26/2010 - 12/08/2020
TD AMERITRADE, INC. (OMAHA NE)
CT
12/04/2009 - 03/18/2010
TD WEALTH MANAGEMENT SERVICES INC. (PLANTSVILLE CT)
MA
05/02/2006 - 11/20/2009
BANCNORTH INVESTMENT GROUP, INC. (ORLEANS MA)
CA
02/03/1998 - 05/04/2006
ESSEX NATIONAL SECURITIES, INC. (NAPA CA)
NY
03/10/1995 - 01/30/1998
LIBERTY SECURITIES CORPORATION (PURCHASE NY)
NY
10/22/1991 - 02/08/1995
LIBERTY SECURITIES CORPORATION (PURCHASE NY)
MN
09/06/1990 - 10/22/1991
AMERICAN EXPRESS FINANCIAL ADVISORS INC. (MINNEAPOLIS MN)
MN
09/06/1990 - 10/22/1991
IDS LIFE INSURANCE COMPANY (MINNEAPOLIS MN)
BOTH
Issued 04/29/2024
Series 66 - Uniform Combined State Law Examination
IA
Issued 10/04/2006
Series 65 - Uniform Investment Adviser Law Examination
BC
Issued 01/14/1992
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 03/28/2003
Series 51 - Municipal Fund Securities Principal Examination
BC
Issued 07/15/1994
Series 24 - General Securities Principal Examination
BC
Issued 10/31/1991
Series 26 - Investment Company Products/Variable Contracts Principal Examination
BC
Issued 04/01/2024
Series 7TO - General Securities Representative Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 09/04/1990
Series 7 - General Securities Representative Examination
Active
Inactive
F
FINRA
N
NYSE American LLC
N
Nasdaq Stock Market
N
New York Stock Exchange
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