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James Thomas Carroll

Transamerica Financial Advisors, Inc.

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About James Thomas Carroll

James Carroll is a financial advisor with over 29 years of experience in the industry. James is a registered representative and investment advisor representative with Transamerica Financial Advisors, Inc. James has held previous positions with World Group Securities, Inc., WMA Securities, Inc., and Intersecurities, Inc. James has passed the Series 6, Series 63, Series 26, and Series 65 examinations and is currently registered to provide securities and advisory services in Florida, Indiana, and Ohio. James specializes in providing financial planning and portfolio management services to individuals and businesses.

Firm Information

James Carroll is currently registered with Transamerica Financial Advisors, Inc.. Transamerica Financial Advisors, Inc. is a registered investment advisor with over 1,100 investment advisor representatives, managing $1 billion to $10 billion in client assets. The firm offers a range of services, including portfolio management for individuals, selection of other advisors, and wrap fee program participation. It has been in business since 1984 and is headquartered in St. Petersburg, FL. The firm serves a diverse clientele, including individuals, high-net-worth individuals, pension plans, corporations, charitable organizations, and other institutions.
Transamerica Financial Advisors, Inc.

570 CARILLON PARKWAY

ST PETERSBURG, FL 33716-1202

$1.62B

Assets Under Management

Not reported

Total Clients

2,487

Total Financial Advisors

Services Offered

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.

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selection of other advisors

Helps you choose top advisors aligned with your financial goals.

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portfolio management for individuals

Personalized portfolio management to meet individual financial objectives.

Fee Structure

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.

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percentage of assets

A percentage of the total value of assets under management is charged.

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James Carroll’s Registration & Firm History

OH

01/06/2012 - Present

Transamerica Financial Advisors, Inc. (CINCINNATI OH)

OH

04/12/2002 - 01/06/2012

WORLD GROUP SECURITIES, INC. (CINCINNATI OH)

GA

06/06/1994 - 04/12/2002

WMA SECURITIES, INC. (DULUTH GA)

FL

04/06/1993 - 06/06/1994

INTERSECURITIES, INC. (ST. PETERSBURG FL)

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Licenses & Designations

IA

Issued 09/03/2008

Series 65 - Uniform Investment Adviser Law Examination

BC

Issued 06/18/1993

Series 63 - Uniform Securities Agent State Law Examination

BC

Issued 09/20/1994

Series 26 - Investment Company Products/Variable Contracts Principal Examination

BC

Issued 10/01/2018

SIE - Securities Industry Essentials Examination

BC

Issued 04/03/1993

Series 6 - Investment Company Products/Variable Contracts Representative Examination

State Registrations

Active

Inactive

SRO Registrations

F

FINRA

Disclosures

There are no public disclosures for James Thomas Carroll.
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