Gregory J. Carroll

WWM FINANCIAL

Carlsbad, CA 92011

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CRD#: 2542500

Professional summary

Gregory James Carroll, CFP®, who also goes by Greg Carroll, is a registered financial advisor currently at WWM FINANCIAL located in Carlsbad, California.

Gregory is registered as an IAR (Investment Advisor Representative) and started their career in finance in 1994. Gregory has worked at 11 firms and has passed the Series 65, Series 63, SIE and Series 7 exams.

Question & Answer

Are you a "fiduciary"?

Yes

Aliases

Greg Carroll

Other business activities

Outside business activity is any business or activity undertaken by an advisor that is outside the scope of their relationship with their firm (e.g., consulting services, real estate, freelance work, teaching, etc.). Investors should stay informed about these activities to ensure no conflicts of interest.

1)RENTAL PROPERTIES; San Diego, CA; non-investment related; Service: rental home; Start date: 01/01/2000; Duties: individual investment on property; Title: OWNER; Time spent: 1 hour/MONTH.

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Gregory James Carroll's CRS (Customer Relationship Summary).

CRS (Customer Relationship Summary)

Certified licenses

Advisors may have various certifications and credentials from different organizations. AdvisorCheck highlights these seven certifications - AIF®, CFP®, ChFC®, CFA, CLU®, CIMA®, CPWA®

CFP^®

Certified Financial Planner

Experience

Current

May 7, 2019 - Present

WWM FINANCIAL

Office #1: 2131 Palomar Airport Road, Suite 330, Carlsbad, CA 92011

RIA

CRD#: 157620

Carlsbad, CA

Past

January 2, 2015 - July 2, 2019

STERLING GLOBAL STRATEGIES, LLC

RIA

CRD#: 172404

CARLSBAD, CA

Past

November 15, 2011 - June 28, 2019

APW CAPITAL, INC.

CRD#: 43814

CARLSBAD, CA

Past

January 10, 2011 - December 31, 2014

STERLING GLOBAL STRATEGIES LLC

RIA

CRD#: 155166

CARLSBAD, CA

Past

November 10, 2010 - January 27, 2011

TORREY PINES SECURITIES, INC.

RIA

CRD#: 17120

CARLSBAD, CA

Past

November 10, 2010 - November 21, 2011

TORREY PINES SECURITIES, INC.

CRD#: 17120

CARLSBAD, CA

Past

November 9, 2010 - December 31, 2010

STERLING GLOBAL STRATEGIES LLC

RIA

CRD#: 155166

CARLSBAD, CA

Past

October 28, 2008 - November 9, 2010

NRP ADVISORS, INC.

RIA

CRD#: 141430

CARLSBAD, CA

Past

October 24, 2008 - November 9, 2010

NRP FINANCIAL, INC.

CRD#: 103717

CARLSBAD, CA

Past

July 27, 2001 - October 31, 2008

UBS FINANCIAL SERVICES INC.

RIA

CRD#: 8174

CARLSBAD, CA

Past

July 6, 2001 - October 31, 2008

UBS FINANCIAL SERVICES INC.

CRD#: 8174

CARLSBAD, CA

Past

February 21, 1995 - July 11, 2001

CITIGROUP GLOBAL MARKETS INC.

CRD#: 7059

NEW YORK, NY

Past

November 2, 1994 - December 21, 1994

H.J. MEYERS & CO., INC.

CRD#: 15609

ROCHESTER, NY

Past

October 20, 1994 - November 3, 1994

CHATFIELD DEAN & CO., INC.

CRD#: 14714

GREENWOOD VILLAGE, CO

Primary Firm SEC Registration

This SEC-registered firm can serve clients nationwide. Some states may require the firm to submit a notice filing if the firm has more than 5 clients or a physical office there. You can view these state-level filings under the section titled "State Registrations and Notice Filings".

WWM FINANCIAL

CRD#: 157620 / SEC#: 801-72588

RIA

Registered Investment Advisory firm - (7/29/2011 Approved)

State Registrations and Notice Filings

Listed states reflect where the advisor is authorized to serve clients under state regulations.

IAR

means the advisor is registered as an Investment Advisor Representative in this state and is authorized to provide investment advice to clients there.

Highlighted states indicate IAR registrations

IAR

California
(5/7/2019)

Don't see your state listed? The advisor may still be able to work with you under the federal De Minimis Rule, which allows up to five investment advisory clients in a state without registration. Some states, like TX, LA, NE, and NH, may still require registration or notice filing. Contact the advisor or their firm to confirm their investment advisory availability in your state.

Exams

State Security Law Exam

IAR

Series 65

Date: 8/23/1995

Uniform Investment Adviser Law Examination

State Security Law Exam

Series 63

Date: 11/7/1994

Uniform Securities Agent State Law Examination

General Industry/Product Exam

SIE

Date: 10/1/2018

Securities Industry Essentials Examination

General Industry/Product Exam

Series 7

Date: 10/19/1994

General Securities Representative Examination

Current Firm

WWM FINANCIAL

CRD#: 157620 / SEC#: 801-72588

RIA

Registered Investment Advisory firm - (7/29/2011 Approved)

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Contact information

Main Address

2131 Palomar Airport Rd. Suite 330, Carslbad, CA 92011

Mailing Address

Phone number

(760) 692-5190

Established

Firm type

Fiscal year end

# of Employees

SEC notice filing (13 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)

Latest Form ADV

Part 2 Brochures

WWM - ADV PART 2A: FIRM BROCHURE (3/21/2025)

Regulatory assets under management

Total Number of Accounts	1,548
AUM (Assets Under Management)	$ 342,090,884

Red Flags

Disclosures can be potential red flags, including customer disputes, regulatory fines, employer terminations, bankruptcies, judgments, liens, or certain criminal activities.

Check for any disclosures as part of your thorough research when choosing an advisor.

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Advisor Monitoring

Firm Stability Insights

Gregory J. Carroll

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Gregory James Carroll's CRS (Customer Relationship Summary).

Certified licenses

Experience

STERLING GLOBAL STRATEGIES, LLC

APW CAPITAL, INC.

STERLING GLOBAL STRATEGIES LLC

TORREY PINES SECURITIES, INC.

TORREY PINES SECURITIES, INC.

STERLING GLOBAL STRATEGIES LLC

NRP ADVISORS, INC.

NRP FINANCIAL, INC.

UBS FINANCIAL SERVICES INC.

UBS FINANCIAL SERVICES INC.

CITIGROUP GLOBAL MARKETS INC.

H.J. MEYERS & CO., INC.

CHATFIELD DEAN & CO., INC.

Primary Firm SEC Registration

WWM FINANCIAL

State Registrations and Notice Filings

Exams

Series 65

Date: 8/23/1995

Series 63

Date: 11/7/1994

SIE

Date: 10/1/2018

Series 7

Date: 10/19/1994

Current Firm

WWM FINANCIAL

Contact information

SEC notice filing (13 States and Territories)

Documents

Part 2 Brochures

Regulatory assets under management

Red Flags

Company Information

WWM FINANCIAL

TRUST BUT VERIFY

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