Unclaimed
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 registered with the state of Wisconsin and has over 5 years of experience in the industry. John is affiliated with LPL Enterprise, LLC. Their office is located in Wauwatosa, Wisconsin. John Carroll has passed the Series 63, 65, 7TO, and SIE exams. John Carroll provides financial advice to individuals, businesses, and other organizations.
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.
Seminars designed to boost your financial literacy and investment knowledge.
Custom portfolio management strategies for businesses to achieve long-term growth.
Personalized portfolio management to meet individual financial objectives.
Consulting and other non-discretionary advisory 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.
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WI
01/06/2025 - Present
LPL Enterprise, LLC (WAUWATOSA WI)
BC
Issued 01/20/2024
Series 63 - Uniform Securities Agent State Law Examination
IA
Issued 12/27/2019
Series 65 - Uniform Investment Adviser Law Examination
BC
Issued 02/23/2024
Series 7TO - General Securities Representative Examination
BC
Issued 12/21/2023
SIE - Securities Industry Essentials Examination
Active
Inactive
F
FINRA
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