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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 Robinson Carroll is an investment advisor representative associated with Wells Fargo Advisors Financial Network, LLC. Carroll has been in the securities industry since August 13, 1998. Carroll has experience with a wide range of investment products, including stocks, bonds, mutual funds, and exchange-traded funds. Carroll is registered to provide investment advice in several states, including North Carolina, Texas, and Virginia.
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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NC
01/09/2020 - Present
Wells Fargo Advisors Financial Network, LLC (RALEIGH NC)
NC
01/01/2008 - 05/07/2015
WELLS FARGO ADVISORS, LLC (RALEIGH NC)
NC
08/14/1998 - 01/03/2008
A. G. EDWARDS & SONS, INC. (RALEIGH NC)
BOTH
Issued 04/06/2004
Series 66 - Uniform Combined State Law Examination
BC
Issued 08/21/1998
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 07/14/2015
Series 24 - General Securities Principal Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 08/13/1998
Series 7 - General Securities Representative Examination
Active
Inactive
F
FINRA
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