James Carroll, financial advisor Fort Lauderdale FL
93 score

James Carroll

CRD Number: 1970996
Current Firm: Morgan Stanley

James Carroll (CRD# 1970996) is an Investment Advisor Representative working at Morgan Stanley in Fort Lauderdale, FL and has over 24 years of experience in the finance industry.

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Company Name Location Dates Years
Morgan Stanley Private Bank, National Association New York, NY Jan 2015 - Current 1
Morgan Stanley Smith Barney Ft. Lauderdale, FL Jun 2009 - Current 7
Morgan Stanley & Company, Incorporated Ft. Lauderdale, FL Apr 2007 - Current 9
Morgan Stanley Dw Inc. Ft. Lauderdale, FL Feb 2007 - Apr 2007 < 1
Salomon Smith Barney Inc. Ft Lauderdale, FL Jul 1993 - Feb 2007 13
Exam Code Name Passed Date
S63 Uniform Securities State Law Examination Jun 1992
S65 NASAA Investment Advisors Law Examination Jul 1992
Contact Info for James G. Carroll
Phone Number: 914-225-5510
Registered State(s):
  • FL
By the Numbers
  • Total Assets Under Management
    535,890
    MILLIONS
  • Total Number of Accounts
    1,563,538
    ACCOUNTS
  • Average Account Value
    $342,742
Compensation Options
  • A percentage of assets under your management
  • Fixed fees (other than subscription fees)
  • Commissions
  • Other
Advisory Services Offered
  • Financial planning services
  • Portfolio management for individuals and/or small businesses
  • Portfolio management for businesses (other than small businesses) or institutional clients
  • Pension consulting services
  • Selection of other advisers (including private fund managers)
  • Educational seminars/workshops
  • Other
Types of Clients
Registered States

AK, AL, AR, AZ, CA, CO, CT, DC, DE, FL, GA, HI, IA, ID, IL, IN, KS, KY, LA, MD, ME, MI, MN, MO, MS, MT, NC, ND, NE, NH, NJ, NM, NV, NY, OH, OK, OR, PA, RI, SC, SD, TN, TX, UT, VA, VI, VT, WA, WI, WV

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BADGES
93
Clean Record
This advisor has a clean track record with regulators.

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