Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you Michael? Claim Your ProfileMichael Carroll is a financial advisor with over 20 years of experience in the industry. Michael is registered with RBC Capital Markets, LLC and holds Series 7 and Series 66 securities licenses. Michael has previously worked for WELLS FARGO CLEARING SERVICES, LLC, CITIGROUP GLOBAL MARKETS INC., CHASE INVESTMENT SERVICES CORP., MCDONALD INVESTMENTS INC. and UBS PAINEWEBBER INC. Michael is a registered Investment Advisor Representative in New York and Texas. Michael's specializations include Financial Planning, Portfolio Management for Individuals and Businesses, Pension Consulting and Selection of Other Advisers.
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.
Service public & private employee benefit plans, endowment funds, foundations, family trusts & various capital/operating funds
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.
A percentage of the total value of assets under management is charged.
1
2
NY
06/06/2022 - Present
RBC Capital Markets, LLC (SYRACUSE NY)
NY
07/03/2006 - 06/07/2022
WELLS FARGO CLEARING SERVICES, LLC (SYRACUSE NY)
NY
10/19/2005 - 07/24/2006
CITIGROUP GLOBAL MARKETS INC. (SYRACUSE NY)
IL
11/19/2004 - 10/06/2005
CHASE INVESTMENT SERVICES CORP. (CHICAGO IL)
OH
04/15/2003 - 11/03/2004
MCDONALD INVESTMENTS INC. (CLEVELAND OH)
NJ
03/12/2002 - 04/16/2003
UBS PAINEWEBBER INC. (WEEHAWKEN NJ)
BOTH
Issued 03/29/2002
Series 66 - Uniform Combined State Law Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 03/11/2002
Series 7 - General Securities Representative Examination
Active
Inactive
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 PEARL, 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 PHLX LLC
N
Nasdaq Stock Market
N
New York Stock Exchange
Not sure Michael Carroll is the right advisor for you? Invested Better is here to help.
