Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you Francis? Claim Your ProfileFrancis Carroll is a financial advisor with Wells Fargo Advisors Financial Network, LLC. Francis has been in the securities industry since 1982. Francis is registered with FINRA and the state of New Jersey, and is licensed to provide investment advice.
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.
Investment consulting services to institutional clients
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.
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2
NJ
04/19/2024 - Present
Wells Fargo Advisors Financial Network, LLC (FLORHAM PARK NJ)
NJ
10/24/2003 - 04/19/2024
WELLS FARGO CLEARING SERVICES, LLC (FLORHAM PARK NJ)
NJ
04/29/2002 - 11/04/2003
RYAN BECK & CO. (FLORHAM PARK NJ)
NY
04/01/1987 - 05/13/2002
GRUNTAL & CO., L.L.C. (NEW YORK NY)
NA
04/19/1983 - 04/09/1987
J. B. HANAUER & CO.
NA
12/28/1982 - 04/18/1983
BLINDER, ROBINSON & CO.,INC.
NA
05/25/1982 - 09/10/1982
HANAUER, STERN & CO.
NA
03/30/1982 - 06/24/1982
ROBERTS AND BROWN SECURITIES CORPORATION
BOTH
Issued 06/10/2020
Series 66 - Uniform Combined State Law Examination
BC
Issued 08/10/1982
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 03/20/1982
Series 7 - General Securities Representative Examination
Active
Inactive
F
FINRA
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