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GC

Gregory J. Carroll

WWM FINANCIAL
Carlsbad, CA 92011
Some features on this profile are disabled
CRD#: 2542500
GC

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.
The advisor shows no other business activity.

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.

BD
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.

BD
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.

BD
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.

BD
CRD#: 8174
CARLSBAD, CA
Past

February 21, 1995 - July 11, 2001

CITIGROUP GLOBAL MARKETS INC.

BD
CRD#: 7059
NEW YORK, NY
Past

November 2, 1994 - December 21, 1994

H.J. MEYERS & CO., INC.

BD
CRD#: 15609
ROCHESTER, NY
Past

October 20, 1994 - November 3, 1994

CHATFIELD DEAN & CO., INC.

BD
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".
WF
WWM FINANCIAL
SAVVY DOC FINANCIAL PLANNERS | WWM FINANCIAL INSURANCE SOLUTIONS LLC | WWM FINANCIAL | WOLFF WIESE MAGANA LLC | WOLFF WIESE MAGANA | SWWM | SCCWWM, LLC | SAVVY WOMEN WEALTH MANAGEMENT

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)

Exams

State Security Law Exam
IAR
Series 65
Date: 8/23/1995
Uniform Investment Adviser Law Examination
State Security Law Exam
RR
Series 63
Date: 11/7/1994
Uniform Securities Agent State Law Examination
General Industry/Product Exam
RR
SIE
Date: 10/1/2018
Securities Industry Essentials Examination
General Industry/Product Exam
RR
Series 7
Date: 10/19/1994
General Securities Representative Examination

Current Firm

WF
WWM FINANCIAL
SAVVY DOC FINANCIAL PLANNERS | WWM FINANCIAL INSURANCE SOLUTIONS LLC | WWM FINANCIAL | WOLFF WIESE MAGANA LLC | WOLFF WIESE MAGANA | SWWM | SCCWWM, LLC | SAVVY WOMEN WEALTH MANAGEMENT

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
8

SEC notice filing (12 States and Territories)

Blank US states mapAlaskaHawaiiAlabamaArkansasArizonaCaliforniaColoradoConnecticutDelawareFloridaGeorgiaIowaIdahoIllinoisIndianaKansasKentuckyLouisianaMassachusettsMarylandMaineMichiganMinnesotaMissouriMississippiMontanaNorth CarolinaNorth DakotaNebraskaNew HampshireNew JerseyNew MexicoNevadaNew YorkOhioOklahomaOregonPennsylvaniaRhode IslandSouth CarolinaSouth DakotaTennesseeTexasUtahVirginiaVermontWisconsinWest VirginiaWyoming

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 Accounts1,548
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.

Company Information

WWM FINANCIAL

CRD#: 157620Carlsbad, CA 92011

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