Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you Gregory? Claim Your ProfileGregory James Carroll is a financial advisor with over 25 years of experience in the industry. Gregory is currently registered as an Investment Advisor Representative with WWM Financial. Gregory has previously held positions at APW Capital, Inc., Torrey Pines Securities, Inc., NRP Financial, Inc., UBS Financial Services Inc., Salomon Smith Barney Inc., Thomas James Associates, Inc. and Chatfield Dean & Co., Inc. Gregory is a Certified Financial Planner™ and has passed the Series 63, Series 65, and Series 7 exams. Gregory is also a specialist in retirement planning, college savings, and estate planning. Gregory is committed to providing his clients with personalized financial advice and helping them achieve their financial goals.
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.
Seminars designed to boost your financial literacy and investment knowledge.
Helps you choose top advisors aligned with your financial goals.
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.
Fees calculated based on the performance of your investments relative to a benchmark.
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2
CA
05/07/2019 - Present
WWM Financial (Carlsbad CA)
CA
11/15/2011 - 06/28/2019
APW CAPITAL, INC. (CARLSBAD CA)
CA
11/10/2010 - 11/21/2011
TORREY PINES SECURITIES, INC. (CARLSBAD CA)
CA
10/24/2008 - 11/09/2010
NRP FINANCIAL, INC. (CARLSBAD CA)
CA
07/06/2001 - 10/31/2008
UBS FINANCIAL SERVICES INC. (CARLSBAD CA)
NY
02/21/1995 - 07/11/2001
SALOMON SMITH BARNEY INC. (NEW YORK NY)
NY
11/02/1994 - 12/21/1994
THOMAS JAMES ASSOCIATES, INC. (ROCHESTER NY)
CO
10/20/1994 - 11/03/1994
CHATFIELD DEAN & CO., INC. (GREENWOOD VILLAGE CO)
IA
Issued 08/23/1995
Series 65 - Uniform Investment Adviser Law Examination
BC
Issued 11/07/1994
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 10/19/1994
Series 7 - General Securities Representative Examination
Active
Inactive
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