Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you John? Claim Your ProfileJohn J. Carroll has over 30 years of experience in the financial industry. John is currently registered with Merrill Lynch, Pierce, Fenner & Smith Inc. and has previously been registered with LIquid Prime Services, Inc., ECHOTRADE LLC, Bay Crest Partners, LLC, Weeden & Co.L.P. and Bear, Stearns & Co. Inc. John holds a Series 66, 63, 10, 9, 24, 57TO, 31, SIE, 55 and 3 licenses. John specializes in providing portfolio management services to individuals, businesses, corporations, charitable organizations, insurance companies, state or municipal government entities and pension and profit-sharing plans. John's current affiliations are with Merrill Lynch, Pierce, Fenner & Smith Inc.. John is also registered with the following states: Arizona, California, Colorado, Connecticut, Delaware, District of Columbia, Florida, Georgia, Hawaii, Illinois, Indiana, Maryland, Massachusetts, Michigan, Minnesota, Montana, New Hampshire, New Jersey, New York, North Carolina, Ohio, Oregon, Pennsylvania, Rhode Island, South Carolina, Tennessee, Texas, Utah, Vermont, Virginia, Washington and Wisconsin.
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.
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.
Performance measurement reports, allocation modeling, ips, research reports and services, see schedule d
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
NJ
05/05/2017 - Present
Merrill Lynch, Pierce, Fenner & Smith Inc. (WAYNE NJ)
NY
06/01/2012 - 10/21/2013
LIQUID PRIME SERVICES, INC. (NEW YORK NY)
AZ
10/27/2011 - 05/30/2012
ECHOTRADE LLC (PHOENIX AZ)
AZ
10/01/2010 - 10/21/2011
ECHOTRADE LLC (PHOENIX AZ)
NY
07/20/2009 - 10/04/2010
BAY CREST PARTNERS, LLC (NEW YORK NY)
CT
12/03/2001 - 01/31/2007
WEEDEN & CO.L.P. (GREENWICH CT)
NY
05/06/1989 - 11/13/2001
BEAR, STEARNS & CO. INC. (NEW YORK NY)
BOTH
Issued 12/08/2015
Series 66 - Uniform Combined State Law Examination
BC
Issued 08/22/1989
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 05/14/2019
Series 10 - General Securities Sales Supervisor - General Module Examination
BC
Issued 12/19/2018
Series 9 - General Securities Sales Supervisor - Options Module Examination
BC
Issued 09/13/1995
Series 24 - General Securities Principal Examination
BC
Issued 01/02/2023
Series 57TO - Securities Trader Exam
BC
Issued 06/25/2021
Series 31 - Futures Managed Funds Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 07/28/2000
Series 55 - Limited Representative-Equity Trader Exam
BC
Issued 08/13/1999
Series 3 - National Commodity Futures Examination
BC
Issued 05/20/1989
Series 7 - General Securities Representative Examination
Active
Inactive
C
Cboe BYX Exchange, Inc.
C
Cboe BZX Exchange, Inc.
C
Cboe Exchange, Inc.
F
FINRA
I
Investors' Exchange LLC
N
Nasdaq Stock Market
N
New York Stock Exchange
Not sure John Carroll is the right advisor for you? Invested Better is here to help.
