John A. Caroli

BCS PRIVATE WEALTH MANAGEMENT

Rumson, NJ 07760

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CRD#: 2756888

Professional summary

John Arthur Caroli, CFP® is a registered financial advisor currently at BCS PRIVATE WEALTH MANAGEMENT located in Rumson, New Jersey.

John is registered as an IAR (Investment Advisor Representative) and started their career in finance in 1996. John has worked at 4 firms and has passed the Series 65, Series 63, SIE, Series 3 and Series 7 exams.

Question & Answer

What are your service offerings?

Estate Planning

Insurance Planning

Tax Planning

Comprehensive Financial Planni...

Investment Planning

Divorce Planning

Retirement Planning

Are you a "fiduciary"?

Yes

Aliases

None

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.

12/2012-PRESENT;NIR;LIFE INSURANCE; 20/20/HRS/MO; 726 KINGS HIGHWAY EAST, ATLANTIC HIGHLANDS, NJ;

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view John Arthur Caroli'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

Start date: 2004

Experience

Current

April 17, 2015 - Present

BCS PRIVATE WEALTH MANAGEMENT

Office #1: 47 West River Road Suite B, Rumson, NJ 07760

RIA

CRD#: 174761

Rumson, NJ

Past

June 12, 2009 - July 2, 2009

UBS FINANCIAL SERVICES INC.

RIA

CRD#: 8174

NEW YORK, NY

Past

June 12, 2009 - September 2, 2015

WESTERN INTERNATIONAL SECURITIES, INC.

RIA

CRD#: 39262

ATLANTIC HIGHLANDS, NJ

Past

June 12, 2009 - September 2, 2015

WESTERN INTERNATIONAL SECURITIES, INC.

CRD#: 39262

ATLANTIC HIGHLANDS, NJ

Past

May 26, 1998 - July 2, 2009

UBS FINANCIAL SERVICES INC.

CRD#: 8174

NEW YORK, NY

Past

July 30, 1996 - April 6, 1998

ROBERT R. MEREDITH & CO., INC.

CRD#: 29501

NEW YORK, NY

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".

BCS PRIVATE WEALTH MANAGEMENT

BCS PRIVATE WEALTH MANAGEMENT | ROYALSTON ADVISORS, LLC | BERNARD CAROLI WEALTH MANAGEMENT INC. | BERNARD CAROLI WEALTH MANAGEMENT

CRD#: 174761 / SEC#: 801-89173

RIA

Registered Investment Advisory firm - (4/15/2015 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

New Jersey
(4/17/2015)

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: 6/4/1998

Uniform Investment Adviser Law Examination

State Security Law Exam

Series 63

Date: 6/26/1997

Uniform Securities Agent State Law Examination

General Industry/Product Exam

SIE

Date: 9/2/2015

Securities Industry Essentials Examination

General Industry/Product Exam

Series 3

Date: 6/15/2001

National Commodity Futures Examination

General Industry/Product Exam

Series 7

Date: 7/29/1996

General Securities Representative Examination

Current Firm

BCS PRIVATE WEALTH MANAGEMENT

BCS PRIVATE WEALTH MANAGEMENT | ROYALSTON ADVISORS, LLC | BERNARD CAROLI WEALTH MANAGEMENT INC. | BERNARD CAROLI WEALTH MANAGEMENT

CRD#: 174761 / SEC#: 801-89173

RIA

Registered Investment Advisory firm - (4/15/2015 Approved)

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Contact information

Main Address

47 West River Road Suite B, Rumson, NJ 07760

Mailing Address

Phone number

(732) 291-7272

Established

Firm type

Fiscal year end

# of Employees

SEC notice filing (8 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)

Latest Form ADV

Part 2 Brochures

BCS PWM ADV PART 2 (3/19/2025)

Regulatory assets under management

Total Number of Accounts	548
AUM (Assets Under Management)	$ 405,866,803

Accountant surprise examination report

Filing Date	Form ADV-E Cover	Form ADV-E Report
02/25/2025	Cover Page	Report

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.

Contact information

xxxxx@xxxx.xxx

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John A. Caroli

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view John Arthur Caroli's CRS (Customer Relationship Summary).

Certified licenses

Experience

UBS FINANCIAL SERVICES INC.

WESTERN INTERNATIONAL SECURITIES, INC.

WESTERN INTERNATIONAL SECURITIES, INC.

UBS FINANCIAL SERVICES INC.

ROBERT R. MEREDITH & CO., INC.

Primary Firm SEC Registration

BCS PRIVATE WEALTH MANAGEMENT

State Registrations and Notice Filings

Exams

Series 65

Date: 6/4/1998

Series 63

Date: 6/26/1997

SIE

Date: 9/2/2015

Series 3

Date: 6/15/2001

Series 7

Date: 7/29/1996

Current Firm

BCS PRIVATE WEALTH MANAGEMENT

Contact information

SEC notice filing (8 States and Territories)

Documents

Part 2 Brochures

Regulatory assets under management

Accountant surprise examination report

Red Flags

Company Information

BCS PRIVATE WEALTH MANAGEMENT

TRUST BUT VERIFY

Contact information

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