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Thomas Alan Carroll

J.p. Morgan Securities LLC

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About Thomas Alan Carroll

Thomas Alan Carroll is a financial advisor registered with J.p. Morgan Securities LLC. Thomas has been in the financial industry since June 10, 2014 and holds Series 6, 26, and 63 licenses, as well as the SIE exam. He is a registered advisor in Ohio and West Virginia.

Firm Information

Thomas Carroll is currently registered with J.p. Morgan Securities LLC. J.p. Morgan Securities LLC is a Limited Liability Company formed in 1985. It is headquartered in NEW YORK, NY, United States. The firm has over 50 billion in assets under management and provides a variety of financial services, including financial planning, pension consulting, portfolio management for individuals and businesses, and selection of other advisors.
J.p. Morgan Securities LLC

383 MADISON AVE

NEW YORK, NY 10179

$249.73B

Assets Under Management

262,026

Total Clients

26,783

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.

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financial planning services

Comprehensive financial plans to help you achieve your personal and business goals.

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pension consulting services

Guidance on pension options to ensure a secure financial future.

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selection of other advisors

Helps you choose top advisors aligned with your financial goals.

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portfolio management for businesses

Custom portfolio management strategies for businesses to achieve long-term growth.

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portfolio management for individuals

Personalized portfolio management to meet individual financial objectives.

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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percentage of assets

A percentage of the total value of assets under management is charged.

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other

Fee computed based on cents-per-share-deposited-into-the-account

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Thomas Carroll’s Registration & Firm History

OH

02/13/2023 - Present

J.p. Morgan Securities LLC (BELPRE OH)

NC

05/24/2017 - 02/16/2023

W&S BROKERAGE SERVICES, INC. (Cary NC)

PA

02/03/2012 - 01/15/2015

PRUCO SECURITIES, LLC. (PITTSBURGH PA)

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Licenses & Designations

BC

Issued 04/29/2022

Series 63 - Uniform Securities Agent State Law Examination

BC

Issued 03/01/2012

Series 26 - Investment Company Products/Variable Contracts Principal Examination

BC

Issued 10/01/2018

SIE - Securities Industry Essentials Examination

BC

Issued 02/02/2012

Series 6 - Investment Company Products/Variable Contracts Representative Examination

State Registrations

Active

Inactive

SRO Registrations

F

FINRA

Disclosures

There are no public disclosures for Thomas Alan Carroll.
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