Gregory Carroll (CRD# 2542500) is an Investment Advisor Representative working at Wwm Financial in Carlsbad, CA and has over 29 years of experience in the finance industry. Gregory Carroll has taken additional exams to become a Certified Financial Planner (CFP®). CFP professionals must pass the comprehensive CFP Certification Examination, pass CFP Board's Fitness Standards for Candidates and Registrants, agree to abide by CFP Board's Code of Ethics and Professional Responsibility and Rules of Conduct which put clients' interests first and comply with the Financial Planning Practice Standards.
CRD# 2730478
Madison Avenue Securities, LLC
CRD# 5084834
The Wealth Consulting Group
CRD# 2946276
Lpl Financial LLC
| Company Name | Location | Dates | Years |
|---|---|---|---|
| Wwm Financial | Carlsbad, CA | May 2019 - Current | 4 |
| Sterling Global Strategies | Carlsbad, CA | Jun 2014 - May 2019 | 4 |
| Apw Capital | Parsippany, NJ | Nov 2011 - May 2019 | 7 |
| Sterling Wealth Management Group, Inc. | Carlsbad, CA | Nov 2010 - May 2019 | 8 |
| Exam Code | Name | Passed Date |
|---|---|---|
| S63 | Uniform Securities State Law Examination | Nov 1994 |
| S65 | NASAA Investment Advisors Law Examination | Aug 1995 |
Financial Advisors are obligated to disclose any events that may influence their professional conduct or ability to advise their clients. Disclosure events are certain criminal matters, regulatory actions, civil judicial proceedings, customer complaints, arbitrations, or civil litigations, employment terminations, financial matters, and other matters required to be disclosed in which the advisor has been involved.
Get Details on the FINRA Advisor Check site- CA
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Total Assets Under Management279MILLIONS
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Total Number of Accounts1,452ACCOUNTS
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Average Account Value$192,441
- A percentage of assets under your management
- Hourly charges
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- Performance-based fees
- Financial planning services
- Portfolio management for individuals and/or small businesses
- Selection of other advisers (including private fund managers)
- Educational seminars/workshops
AZ, CA, FL, IL, IN, LA, NV, OR, TX, VA
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