Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you William? Claim Your ProfileWilliam T. Carroll is a financial advisor who has been in the industry since 1984. Carroll is currently registered with UBS Financial Services Inc. Carroll has also held previous registrations with Citigroup Global Markets Inc., Merrill Lynch, Pierce, Fenner & Smith Incorporated and First Jersey Securities, Inc. Carroll is licensed to provide financial advice in 53 states and is also registered as an Investment Advisor Representative in New Jersey and Oklahoma.
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.
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.
Earned based on transactions or products sold.
A percentage of the total value of assets under management is charged.
See schedule d - miscellaneous
1
2
NJ
11/26/2003 - Present
UBS Financial Services Inc. (WEEHAWKEN NJ)
NY
05/10/1994 - 12/04/2003
CITIGROUP GLOBAL MARKETS INC. (NEW YORK NY)
NY
07/17/1985 - 05/18/1994
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED (NEW YORK NY)
NA
09/25/1984 - 06/18/1985
FIRST JERSEY SECURITIES, INC.
BC
Issued 10/08/1984
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 01/02/2023
Series 9 - General Securities Sales Supervisor - Options Module Examination
BC
Issued 01/02/2023
Series 10 - General Securities Sales Supervisor - General Module Examination
BC
Issued 12/12/2016
Series 24 - General Securities Principal Examination
BC
Issued 11/25/1997
Series 8 - General Securities Sales Supervisor Examination (Options Module & General Module)
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 02/03/2005
Series 3 - National Commodity Futures Examination
BC
Issued 09/15/1984
Series 7 - General Securities Representative Examination
Active
Inactive
B
BOX Exchange LLC
C
Cboe Exchange, Inc.
F
FINRA
N
NYSE American LLC
N
NYSE Arca, Inc.
N
Nasdaq ISE, LLC
N
Nasdaq PHLX LLC
N
Nasdaq Stock Market
N
New York Stock Exchange
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