Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you Ryan? Claim Your ProfileRyan John Carroll is a registered investment advisor representative with Principal Asset Management. Ryan has been in the securities industry for over 17 years and holds a Series 6, 7, 63, 65, and 66 license. Ryan has prior experience with NYLIFE DISTRIBUTORS LLC and GARTMORE DISTRIBUTION SERVICES, INC.. Ryan provides advisory services such as spread lending management and advice, asset allocation services, providing model portfolios, and portfolio management for businesses, individuals, investment companies and pooled investment vehicles.
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.
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.
Strategic management for diversified investment portfolios.
Spread lending management and advice; asset allocation services; providing model portfolios
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.
Fees calculated based on the performance of your investments relative to a benchmark.
Charge on a cost allocation basis to principal life
1
2
CA
12/21/2021 - Present
Principal Asset Management (San Anselmo CA)
NJ
07/29/2005 - 05/27/2008
NYLIFE DISTRIBUTORS LLC (JERSEY CITY NJ)
OH
04/23/2004 - 07/26/2005
GARTMORE DISTRIBUTION SERVICES, INC. (COLUMBUS OH)
BOTH
Issued 12/20/2021
Series 66 - Uniform Combined State Law Examination
IA
Issued 05/19/2006
Series 65 - Uniform Investment Adviser Law Examination
BC
Issued 06/09/2004
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 06/28/2006
Series 7 - General Securities Representative Examination
BC
Issued 04/22/2004
Series 6 - Investment Company Products/Variable Contracts Representative Examination
Active
Inactive
F
FINRA
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