Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you Philip? Claim Your ProfilePhilip Carroll is a financial advisor with over 14 years of experience in the financial services industry. Philip Carroll is registered as a Registered Representative with Charles Schwab & CO., Inc. in Florida. Philip Carroll is also a Registered Investment Advisor Representative with Charles Schwab & CO., Inc. in Florida. Philip Carroll is a Registered Principal with Charles Schwab & CO., Inc. in Florida. Philip Carroll has been associated with Charles Schwab & CO., Inc. since May 2021. Philip Carroll was previously registered with Hennion & Walsh, Inc. in Florida, EF Legacy Securities, LLC in New York, and Sanders Morris Harris LLC in New York. Philip Carroll specializes in Financial planning. The firm provides advisory services for Individuals, Trusts, and Business entities. The firm is based in San Francisco, California.
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
FL
06/14/2021 - Present
Charles Schwab & CO., Inc. (Fort Lauderdale FL)
FL
10/30/2020 - 05/26/2021
HENNION & WALSH, INC. (BOCA RATON FL)
NY
04/22/2016 - 10/31/2018
EF LEGACY SECURITIES, LLC (WHITE PLAINS NY)
NY
02/02/2011 - 04/22/2016
SANDERS MORRIS HARRIS LLC (NEW YORK NY)
MA
04/20/2007 - 01/27/2011
FIDELITY BROKERAGE SERVICES LLC (FRAMINGHAM MA)
NH
10/20/2006 - 03/19/2007
FIDELITY INVESTMENTS INSTITUTIONAL SERVICES COMPANY, INC. (MERRIMACK NH)
BOTH
Issued 06/25/2012
Series 66 - Uniform Combined State Law Examination
BC
Issued 03/14/2007
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 11/12/2021
Series 10 - General Securities Sales Supervisor - General Module Examination
BC
Issued 08/03/2021
Series 9 - General Securities Sales Supervisor - Options Module Examination
BC
Issued 04/21/2015
Series 24 - General Securities Principal Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 04/19/2007
Series 7 - General Securities Representative Examination
BC
Issued 10/18/2006
Series 6 - Investment Company Products/Variable Contracts Representative Examination
Active
Inactive
F
FINRA
N
Nasdaq Stock Market
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