Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you James? Claim Your ProfileJames Gilbert Carroll is a financial advisor at Equitable Advisors, LLC, with over 20 years of experience in the financial services industry. James has a strong background in investment advising, having held positions at several prominent firms including Truist Investment Services, Inc., Fidelity Brokerage Services LLC, and Merrill Lynch, Pierce, Fenner & Smith Incorporated. James is a registered representative and investment advisor representative, and holds Series 3, 7, 9, 10, and 66 licenses. James provides a wide range of financial services, including financial planning, portfolio management, and pension consulting. James is also a member of the FINRA Arbitration Panel.
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.
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.
1
2
VA
05/22/2024 - Present
Equitable Advisors, LLC (ROANOKE VA)
VA
11/17/2014 - 05/28/2024
TRUIST INVESTMENT SERVICES, INC. (ROANOKE VA)
NC
05/03/2013 - 07/09/2014
FIDELITY BROKERAGE SERVICES LLC (CHARLOTTE NC)
TX
03/13/2012 - 03/12/2013
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED (AUSTIN TX)
TX
03/29/2010 - 01/17/2012
CHARLES SCHWAB & CO., INC. (AUSTIN TX)
TX
09/04/2009 - 03/09/2010
NEW ENGLAND SECURITIES (AUSTIN TX)
VT
11/13/2002 - 05/13/2009
UBS FINANCIAL SERVICES INC. (SOUTH BURLINGTON VT)
BOTH
Issued 12/24/2002
Series 66 - Uniform Combined State Law Examination
BC
Issued 08/21/2003
Series 10 - General Securities Sales Supervisor - General Module Examination
BC
Issued 08/02/2003
Series 9 - General Securities Sales Supervisor - Options Module Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 05/07/2008
Series 3 - National Commodity Futures Examination
BC
Issued 11/11/2002
Series 7 - General Securities Representative Examination
Active
Inactive
F
FINRA
Not sure James Carroll is the right advisor for you? Invested Better is here to help.
