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William Carroll

Pershing LLC

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About William Carroll

William Carroll is a registered representative with Pershing LLC in Jersey City, NJ. William has been in the industry since 1999 and has a broad range of experience. William has a Series 7, Series 24, Series 52, Series 63 and Series 99. William is also registered in New Jersey and New York. William was previously registered with First Republic Securities Company, LLC and E*TRADE Securities LLC.

Firm Information

William Carroll is currently registered with Pershing LLC. Pershing LLC is a Limited Liability Company formed in January 2003. The firm is registered in all 50 states, the District of Columbia, Puerto Rico, and the Virgin Islands. They have one approved SEC registration and 53 approved state registrations.

Not reported

Assets Under Management

Not reported

Total Clients

692

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.

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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William Carroll’s Registration & Firm History

NJ

09/08/2023 - Present

Pershing LLC (JERSEY CITY NJ)

NY

10/20/2020 - 07/24/2023

FIRST REPUBLIC SECURITIES COMPANY, LLC (NEW YORK NY)

NJ

11/15/2018 - 07/29/2019

E*TRADE SECURITIES LLC (Jersey City NJ)

NJ

02/25/1998 - 10/29/2018

PERSHING LLC (JERSEY CITY NJ)

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Licenses & Designations

BC

Issued 09/26/2006

Series 63 - Uniform Securities Agent State Law Examination

BC

Issued 09/07/2004

Series 24 - General Securities Principal Examination

BC

Issued 01/25/2024

Series 52TO - Municipal Securities Representative Examination

BC

Issued 01/02/2023

Series 99TO - Operations Professional Examination

BC

Issued 10/01/2018

SIE - Securities Industry Essentials Examination

BC

Issued 02/24/1998

Series 7 - General Securities Representative Examination

State Registrations

Active

Inactive

SRO Registrations

B

BOX Exchange LLC

C

Cboe C2 Exchange, Inc.

C

Cboe Exchange, Inc.

F

FINRA

I

Investors' Exchange LLC

M

MIAX Emerald, LLC

M

MIAX PEARL, LLC

M

MIAX Sapphire

M

Miami International Securities Exchange, 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 MRX, LLC

N

Nasdaq PHLX LLC

N

Nasdaq Stock Market

N

New York Stock Exchange

Disclosures

There are no public disclosures for William Carroll.
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