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This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you James? Claim Your ProfileJames Carroll is a financial advisor at Morgan Stanley in Palm Harbor, Florida. James has been in the financial services industry since 2009 and has held various roles with firms such as Raymond James & Associates, Inc., The New Penfacs Inc., and Franklin/Templeton Distributors, Inc. James has a strong track record of success in the industry and is committed to providing his clients with personalized financial advice. James holds a Series 6, 7, 24, 63, and 66 license and has also passed the SIE exam. He is also a Certified Financial Planner. James is dedicated to providing his clients with the highest level of service and expertise.
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
06/30/2023 - Present
Morgan Stanley (Palm Harbor FL)
FL
05/18/2015 - 11/07/2022
RAYMOND JAMES & ASSOCIATES, INC. (ST. PETERSBURG FL)
MA
05/03/2013 - 05/04/2015
THE NEW PENFACS INC. (SOUTHBOROUGH MA)
FL
06/18/2009 - 05/02/2013
RAYMOND JAMES & ASSOCIATES, INC. (ST. PETERSBURG FL)
FL
03/26/2007 - 07/06/2007
FRANKLIN/TEMPLETON DISTRIBUTORS, INC. (ST. PETERSBURG FL)
BOTH
Issued 05/14/2024
Series 66 - Uniform Combined State Law Examination
BC
Issued 07/05/2013
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 07/20/2012
Series 24 - General Securities Principal Examination
BC
Issued 05/01/2023
Series 82TO - Limited Representative-Private Securities Offerings
BC
Issued 01/02/2023
Series 99TO - Operations Professional Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 08/29/2011
Series 7 - General Securities Representative Examination
BC
Issued 03/23/2007
Series 6 - Investment Company Products/Variable Contracts Representative Examination
Active
Inactive
F
FINRA
N
NYSE American LLC
N
Nasdaq Stock Market
N
New York Stock Exchange
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