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Detailed Report
JOHN FRANCIS CARROLL
JC CARROLL, JOHN FRANCIS CARROLL IV
CRD#: 1148905
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Previous Investment Adviser
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Previous Broker
SUSPENDED
FINRA has suspended this individual from acting as a broker. Please see the detailed report for more information
The representative was previously registered both as an investment adviser and as a broker. Visit BrokerCheck for more information on this individual's Broker record. Go to BrokerCheck Site
Registration History
2000200220042006200820102012201420162018202020222024IAVANDERBILT ADVISORY SERVICES (CRD# 116537)2022 - 2023 (<1 year)IANATIONAL ASSET MANAGEMENT, INC. (CRD# 115927)2018 - 2022 (3 years)IAOPPENHEIMER & CO. INC. (CRD# 249)2015 - 2018 (3 years)IASTIFEL, NICOLAUS & COMPANY, IN... (CRD# 793)2007 - 2015 (8 years)IARYAN BECK & CO. (CRD# 3248)1999 - 2007 (8 years)
Disclosure(s)
View By:
1/6/2023
Regulatory
Final
Previous Registration(s)
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 08/24/2022 - 02/09/2023 VANDERBILT ADVISORY SERVICES (CRD#:116537) Juno Beach, FL
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 10/24/2018 - 07/18/2022 NATIONAL ASSET MANAGEMENT, INC. (CRD#:115927) BOCA RATON, FL
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 06/26/2015 - 10/19/2018 OPPENHEIMER & CO. INC. (CRD#:249) PALM BEACH GARDENS, FL
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 07/31/2007 - 07/01/2015 STIFEL, NICOLAUS & COMPANY, INCORPORATED (CRD#:793) PALM BEACH GARDENS, FL
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 06/08/1999 - 07/31/2007 RYAN BECK & CO. (CRD#:3248) PALM BEACH GARDENS, FL
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Broker
A brokerage firm, also called a broker-dealer, is in the business of buying and selling securities – stocks, bonds, mutual funds, and certain other investment products – on behalf of its customer (as broker), for its own bank (dealer), or both. Individuals who work for broker-dealers - the sales personnel are commonly referred to as brokers.
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Investment Adviser
An investment adviser is paid for providing advice about securities to clients. In addition, some investment advisers manage investment portfolios and offer financial planning services.
Disclosures
Disclosures can be customer complaints or arbitrations, regulatory actions, employment terminations, bankruptcy filings and certain civil or criminal proceedings that they were a part of.