Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you Joseph? Claim Your ProfileJoseph Carroll is a financial advisor with Charles Schwab & Co., Inc., located in Hingham, MA. Joseph has been in the industry since November 4, 1990. Joseph has experience with a variety of firms, including Fidelity Brokerage Services LLC, L & M Securities Company, Smith Barney, Harris Upham & Co., Incorporated, and Asquith & Co. Inc. Joseph specializes in providing financial planning and selection of other advisors.
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.
Helps you choose top advisors aligned with your financial goals.
Wrap fee program sponsor and financial planning advisor referral program
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.
Asset based fees for wrap pgrms & subsc pricing for fin planning
1
2
MA
10/04/2021 - Present
Charles Schwab & CO., Inc. (Hingham MA)
MA
03/30/1992 - 07/09/2021
FIDELITY BROKERAGE SERVICES LLC (HINGHAM MA)
OR
03/07/1991 - 07/23/1991
L & M SECURITIES COMPANY (PORTLAND OR)
NA
01/07/1988 - 02/21/1989
SMITH BARNEY, HARRIS UPHAM & CO., INCORPORATED
NA
11/25/1987 - 01/25/1988
ASQUITH & CO. INC.
IA
Issued 02/08/1999
Series 65 - Uniform Investment Adviser Law Examination
BC
Issued 04/28/1992
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 01/02/2023
Series 10 - General Securities Sales Supervisor - General Module Examination
BC
Issued 01/02/2023
Series 9 - General Securities Sales Supervisor - Options Module Examination
BC
Issued 11/30/1998
Series 8 - General Securities Sales Supervisor Examination (Options Module & General Module)
BC
Issued 01/02/2023
Series 7TO - General Securities Representative Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 11/21/1987
Series 7 - General Securities Representative Examination
Active
Inactive
F
FINRA
N
Nasdaq Stock Market
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