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This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you John? Claim Your ProfileJohn B Carroll is a financial advisor with Ameriprise Financial Services, LLC. John is a registered representative and investment advisor representative. John has been in the financial services industry since 2009. John has been with Ameriprise Financial Services, LLC since 2012 and was previously with SCOTTRADE, INC., SAGEPOINT FINANCIAL, INC. and MORGAN STANLEY & CO. INCORPORATED. John is licensed in 29 states. John holds the Series 66, Series 7, Series 31 and SIE securities licenses. John is an active member of the financial services industry and has a strong commitment to providing clients with personalized financial advice and services.
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.
Asset allocation services
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
OK
11/07/2016 - Present
Ameriprise Financial Services, LLC (NORMAN OK)
OK
12/13/2011 - 08/27/2012
SCOTTRADE, INC. (EDMOND OK)
OK
01/18/2010 - 11/30/2011
SAGEPOINT FINANCIAL, INC. (OKLAHOMA CITY OK)
OK
09/05/2007 - 09/12/2008
MORGAN STANLEY & CO. INCORPORATED (OKLAHOMA CITY OK)
BOTH
Issued 09/24/2007
Series 66 - Uniform Combined State Law Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 09/28/2007
Series 31 - Futures Managed Funds Examination
BC
Issued 09/04/2007
Series 7 - General Securities Representative Examination
Active
Inactive
F
FINRA
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