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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 Carroll is a financial advisor with over 30 years of experience in the industry. John currently works for Wells Fargo Advisors Financial Network, LLC in the Manchester by the Sea, MA office. John is a CERTIFIED FINANCIAL PLANNER™ professional, and holds Series 7, 9, 10, 63, and 65 licenses. John specializes in providing financial advice to individuals, businesses, and high net worth individuals.
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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MA
08/08/2024 - Present
Wells Fargo Advisors Financial Network, LLC (MANCHESTER BY THE SEA MA)
MA
10/04/2013 - 08/08/2024
WELLS FARGO CLEARING SERVICES, LLC (MANCHESTER BY THE SEA MA)
MA
06/01/2009 - 10/15/2013
MORGAN STANLEY (MANCHESTER BY THE SEA MA)
MA
04/02/2007 - 06/01/2009
MORGAN STANLEY & CO. INCORPORATED (MANCHESTER BY THE SEA MA)
MA
01/14/2005 - 04/02/2007
MORGAN STANLEY DW INC. (MANCHESTER BY THE SEA MA)
NJ
08/16/1996 - 02/08/2005
UBS FINANCIAL SERVICES INC. (WEEHAWKEN NJ)
NY
04/22/1994 - 09/03/1996
SMITH BARNEY INC. (NEW YORK NY)
NY
07/10/1992 - 06/29/1994
DUNHILL EQUITIES, INC. (GARDEN CITY NY)
NY
05/21/1991 - 06/22/1992
HIBBARD BROWN & CO., INC. (NEW YORK NY)
IA
Issued 07/08/1997
Series 65 - Uniform Investment Adviser Law Examination
BC
Issued 06/12/1991
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 08/30/2023
Series 10 - General Securities Sales Supervisor - General Module Examination
BC
Issued 01/19/2023
Series 9 - General Securities Sales Supervisor - Options Module Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 05/20/1991
Series 7 - General Securities Representative Examination
Active
Inactive
F
FINRA
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