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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 Stifel, Nicolaus & Company, Inc. in Saratoga Springs, NY. John has been in the financial services industry since 1986. John is registered with FINRA and the state of New York and has a Series 7, 9, 10, 24, 63, and 65 license. John's current firm, Stifel, Nicolaus & Company, Inc. offers investment advisory services including financial planning, pension consulting, educational seminars, selection of other advisers, portfolio management for businesses, portfolio management for individuals, and portfolio management for pooled investment vehicles.
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.
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.
1
2
NY
11/15/2021 - Present
Stifel, Nicolaus & Company, Inc. (SARATOGA SPRINGS NY)
NY
10/20/2004 - 12/01/2021
RBC CAPITAL MARKETS, LLC (ALBANY NY)
SC
03/31/1999 - 11/03/2004
LINSCO/PRIVATE LEDGER CORP. (FORT MILL SC)
NY
09/11/1998 - 04/02/1999
LIBERTY SECURITIES CORPORATION (PURCHASE NY)
NY
06/16/1994 - 09/04/1998
DANIELS & BELL, INC. (NEW YORK NY)
NY
05/21/1993 - 06/30/1994
ASHLAND GLOBAL SECURITIES, INC. (NEW YORK NY)
NY
04/18/1989 - 12/18/1990
MCGINN, SMITH & CO., INC. (ALBANY NY)
NA
11/12/1986 - 10/31/1988
FIRST ALBANY CORPORATION
NA
10/19/1983 - 10/16/1986
SHEARSON LEHMAN BROTHERS INC.
IA
Issued 12/02/2004
Series 65 - Uniform Investment Adviser Law Examination
BC
Issued 07/10/1993
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 05/03/2005
Series 9 - General Securities Sales Supervisor - Options Module Examination
BC
Issued 03/22/2005
Series 10 - General Securities Sales Supervisor - General Module Examination
BC
Issued 05/27/1999
Series 24 - General Securities Principal Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 05/20/1993
Series 7 - General Securities Representative Examination
Active
Inactive
C
Cboe BZX Exchange, Inc.
F
FINRA
N
NYSE American LLC
N
Nasdaq PHLX LLC
N
Nasdaq Stock Market
N
New York Stock Exchange
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