Individual Firm
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BENJAMIN CARROLL
Benjamin Joseph Carroll
CRD#: 6942384
IA
B
WELLS FARGO ADVISORSCRD#: 19616 2050 CORPORATE CENTRE DR STE 120
MYRTLE BEACH, SC 29577
MYRTLE BEACH, SC 29577
View By:
7/29/2019
Customer Dispute
Denied
State Registrations
B
Alabama 4/17/2023
B
Missouri 4/17/2023
B
Arkansas 4/17/2023
B
Nevada 4/17/2023
B
California 4/17/2023
B
New Hampshire 4/17/2023
B
Colorado 4/17/2023
B
New Jersey 4/17/2023
B
Connecticut 4/17/2023
B
New York 4/17/2023
B
Delaware 4/17/2023
B
North Carolina 4/17/2023
B
District of Columbia 4/17/2023
B
Ohio 4/17/2023
B
Florida 4/17/2023
B
Pennsylvania 4/17/2023
B
Georgia 4/17/2023
B
South Carolina 4/17/2023
B
Illinois 4/17/2023
IA
South Carolina 4/24/2023
B
Indiana 4/17/2023
B
Tennessee 4/17/2023
B
Maine 4/17/2023
B
Texas 4/17/2023
B
Maryland 4/17/2023
B
Utah 4/17/2023
B
Massachusetts 4/17/2023
B
Virginia 4/17/2023
B
Michigan 4/17/2023
B
Washington 4/17/2023
B
Minnesota 11/14/2024
SRO Registrations
B
B
B
B
B
B
B
B
B
B
B
View Exams Passed by the individual in the detailed report
Learn about permitted activities of registered representatives
Learn about permitted activities of registered principals
IA
Registered with this firm since 4/24/2023
B
Registered with this firm since 4/17/2023
| th hidden text | th hidden text | Name | Location |
|---|---|---|---|
IA | 01/05/2023 - 03/20/2023 | MINNEAPOLIS, MN | |
B | 01/03/2023 - 03/20/2023 | MINNEAPOLIS, MN | |
IA | 06/08/2018 - 01/07/2021 | PHOENIX, MD | |
B | 05/21/2018 - 01/07/2021 | PHOENIX, MD |
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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.