Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you John? Claim Your ProfileJohn Charles Carroll is a financial advisor with over 20 years of experience in the financial services industry. John has been registered with Morgan Stanley since 2009, and previously worked with Morgan Stanley & Co. Incorporated and Morgan Stanley DW Inc. in Albuquerque, New Mexico. John holds the Series 66, Series 31, and Series 7 licenses. John works with individuals, high-net-worth individuals, families, businesses, corporations, trusts, estates, charitable organizations, investment clubs, insurance companies, state and municipal government entities, and retirement plans. John provides a range of financial services, including investment management, financial planning, asset allocation advice, pension consulting, and educational seminars.
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.
Strategic management for diversified investment portfolios.
Asset allocation advice
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.
Fees calculated based on the performance of your investments relative to a benchmark.
See schedule d miscellaneous
1
2
NM
06/01/2009 - Present
Morgan Stanley (Albuquerque NM)
NM
04/02/2007 - 06/01/2009
MORGAN STANLEY & CO. INCORPORATED (ALBUQUERQUE NM)
NM
01/28/2002 - 04/02/2007
MORGAN STANLEY DW INC. (ALBUQUERQUE NM)
BOTH
Issued 02/15/2002
Series 66 - Uniform Combined State Law Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 02/01/2002
Series 31 - Futures Managed Funds Examination
BC
Issued 01/25/2002
Series 7 - General Securities Representative Examination
Active
Inactive
F
FINRA
N
NYSE American LLC
N
Nasdaq Stock Market
N
New York Stock Exchange
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