Individual Firm
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JOHN MICHAEL CARROLL JR
JOHN M CARROLL, Jay Carroll
CRD#: 2414877
IA
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MORGAN STANLEYCRD#: 149777 28 State Street 26Th Floor
Boston, MA 02110
Boston, MA 02110
View By:
5/11/2005
Customer Dispute
Settled
State Registrations
B
Arizona 3/27/2018
B
New Jersey 3/27/2018
B
California 3/27/2018
B
New York 3/28/2018
B
Colorado 3/27/2018
B
North Carolina 3/28/2018
B
Connecticut 3/28/2018
B
Ohio 4/5/2024
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Connecticut 8/1/2019
B
Oregon 2/9/2021
B
Delaware 3/28/2018
B
Pennsylvania 3/28/2018
B
District of Columbia 3/29/2018
B
Puerto Rico 12/12/2018
B
Florida 3/28/2018
B
Rhode Island 3/28/2018
B
Georgia 3/28/2018
B
South Carolina 3/29/2018
B
Hawaii 8/14/2020
B
South Dakota 3/27/2018
B
Illinois 3/27/2018
B
Tennessee 5/25/2021
B
Kansas 5/3/2023
B
Texas 3/27/2018
B
Louisiana 12/5/2022
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Texas 8/1/2019
B
Maine 3/28/2018
B
Utah 9/19/2024
B
Maryland 3/29/2018
B
Vermont 3/29/2018
B
Massachusetts 3/19/2018
B
Virginia 3/28/2018
B
Michigan 12/22/2020
B
Washington 3/28/2018
B
Mississippi 3/25/2022
B
West Virginia 12/12/2023
B
Nevada 4/9/2018
B
Wisconsin 4/2/2018
B
New Hampshire 4/20/2018
SRO Registrations
B
B
B
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View Exams Passed by the individual in the detailed report
Learn about permitted activities of registered representatives
Learn about permitted activities of registered principals
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Registered with this firm since 8/1/2019
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Registered with this firm since 3/6/2018
| th hidden text | th hidden text | Name | Location |
|---|---|---|---|
IA | 11/14/2014 - 03/07/2018 | BOSTON, MA | |
IA | 02/18/2011 - 11/26/2014 | BOSTON, MA | |
IA | 04/04/2006 - 02/10/2011 | BOSTON, MA | |
B | 01/24/2003 - 02/10/2011 | BOSTON, MA | |
B | 02/07/1994 - 02/04/2003 | BOSTON, MA | |
B | 02/07/1994 - 05/01/1997 | BOSTON, MA |
BOSTON, MA
02/18/2011 - 11/26/2014
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B
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.
IA
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 can be customer complaints or arbitrations, regulatory actions, employment terminations, bankruptcy filings and certain civil or criminal proceedings that they were a part of.