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Jonathan Yao Carroll

Wells Fargo Securities, LLC

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About Jonathan Yao Carroll

Jonathan Yao Carroll is a financial professional registered with Wells Fargo Securities, LLC. Jonathan is licensed to provide securities advice and investment services in all states of the United States. Jonathan obtained the Series 7TO, SIE and Series 63 licenses. Jonathan has been in the industry for a short period of time, having begun their professional career on August 8, 2024. Jonathan is located in Charlotte, North Carolina, at the Wells Fargo Securities, LLC branch office.

Firm Information

Jonathan Carroll is currently registered with Wells Fargo Securities, LLC. Wells Fargo Securities, LLC is a Limited Liability Company formed in March 2003. The firm is registered with the SEC and in all 50 states, as well as the District of Columbia, Puerto Rico, and the Virgin Islands.

Not reported

Assets Under Management

Not reported

Total Clients

1,325

Total Financial Advisors

Services Offered

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.

Fee Structure

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.

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Jonathan Carroll’s Registration & Firm History

NC

08/08/2024 - Present

Wells Fargo Securities, LLC (CHARLOTTE NC)

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Licenses & Designations

BC

Issued 06/17/2024

Series 63 - Uniform Securities Agent State Law Examination

BC

Issued 08/08/2024

Series 7TO - General Securities Representative Examination

BC

Issued 06/03/2024

SIE - Securities Industry Essentials Examination

State Registrations

Active

Inactive

SRO Registrations

B

BOX Exchange LLC

C

Cboe BYX Exchange, Inc.

C

Cboe BZX Exchange, Inc.

C

Cboe C2 Exchange, Inc.

C

Cboe EDGA Exchange, Inc.

C

Cboe EDGX Exchange, Inc.

C

Cboe Exchange, Inc.

F

FINRA

I

Investors' Exchange LLC

L

Long-Term Stock Exchange, Inc.

M

MEMX LLC

M

MIAX Emerald, LLC

M

MIAX PEARL, LLC

M

Miami International Securities Exchange, LLC

N

NYSE American LLC

N

NYSE Arca, Inc.

N

NYSE Chicago, Inc.

N

NYSE National, Inc.

N

Nasdaq BX, Inc.

N

Nasdaq GEMX, LLC

N

Nasdaq ISE, LLC

N

Nasdaq MRX, LLC

N

Nasdaq PHLX LLC

N

Nasdaq Stock Market

N

New York Stock Exchange

Disclosures

There are no public disclosures for Jonathan Yao Carroll.
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