James Patrick Carroll | Financial Professional

Professional summary

Being a previously registered professional could mean that this person is no longer operating under the supervision of the SEC or FINRA.

That means that the Securities and Exchange Commission may not be able to oversee the services that this specific professional is providing.

James Patrick Carroll, who also goes by James P Carroll, was a registered financial professional .

James is a previously registered financial professional and started their career in finance in 1999. James had worked at 7 firms and has passed the Series 65, Series 63, SIE, Series 7 and Series 6 exams.

Question & Answer

Are you a "fiduciary"?

No

Aliases

James P 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)

The CRS(Customer Relationship Summary) document is not provided.

Certified licenses

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

None

Experience

Past

February 1, 2012 - May 10, 2019

PKS ADVISORY SERVICES, LLC

RIA

CRD#: 125648

NAPLES, FL

Past

March 18, 2010 - December 31, 2011

AMERICAN CAPITAL WEALTH MANAGERS LLC

RIA

CRD#: 153015

NAPLES, FL

Past

December 13, 2007 - May 7, 2019

PURSHE KAPLAN STERLING INVESTMENTS

BD

CRD#: 35747

NAPLES, FL

Past

August 2, 2004 - December 13, 2007

TRIAD ADVISORS LLC

BD

CRD#: 25803

NAPLES, FL

Past

August 27, 2003 - June 6, 2008

FINANCIAL ADVISORY CONSULTANTS, LLC

RIA

CRD#: 122629

NAPLES, FL

Past

April 21, 2003 - August 10, 2004

MONY SECURITIES CORPORATION

BD

CRD#: 4386

NEW YORK, NY

Past

March 1, 2000 - April 10, 2003

NEW ENGLAND SECURITIES

RIA

CRD#: 615

CINCINNATI, OH

Past

October 14, 1999 - April 10, 2003

NEW ENGLAND SECURITIES

BD

CRD#: 615

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".

PA

PKS ADVISORY SERVICES, LLC

CRD#: 125648 / SEC#: 801-62147

RIA

Registered Investment Advisory firm - (6/20/2003 Approved)

New York

Registered Investment Advisory firm - (6/20/2003 Terminated)

Why is a state registration marked "Terminated"? When a firm registers with the SEC (usually after managing $100M+ AUM), it often withdraws separate state firm registrations unless required by that state. The firm can still serve clients there through its individually registered Investment Advisor Representatives (IARs).

State Registrations and Notice Filings

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

Visual representation of state registrations

This advisor is not registered in any state.

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: 8/11/2003

Uniform Investment Adviser Law Examination

State Security Law Exam

RR

Series 63

Date: 2/11/2002

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: 5/14/2002

General Securities Representative Examination

General Industry/Product Exam

RR

Series 6

Date: 10/13/1999

Investment Company Products/Variable Contracts Representative Examination

Current Firm

PA

PKS ADVISORY SERVICES, LLC

CRD#: 125648 / SEC#: 801-62147

RIA

Registered Investment Advisory firm - (6/20/2003 Approved)

New York

Registered Investment Advisory firm - (6/20/2003 Terminated)

Why is a state registration marked "Terminated"? When a firm registers with the SEC (usually after managing $100M+ AUM), it often withdraws separate state firm registrations unless required by that state. The firm can still serve clients there through its individually registered Investment Advisor Representatives (IARs).

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Contact information

Main Address

80 State Street, Albany, NY 12207

Mailing Address

Phone number

(518) 426-5791

Established

Firm type

Fiscal year end

# of Employees

49

SEC notice filing (36 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)

Latest Form ADV

Part 2 Brochures

DISCLOSURE BROCHURE (3/26/2025)

Regulatory assets under management

Total Number of Accounts	4,419
AUM (Assets Under Management)	$ 905,367,391

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

James P. Carroll

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary)

Certified licenses

Experience

AMERICAN CAPITAL WEALTH MANAGERS LLC

PURSHE KAPLAN STERLING INVESTMENTS

TRIAD ADVISORS LLC

FINANCIAL ADVISORY CONSULTANTS, LLC

MONY SECURITIES CORPORATION

NEW ENGLAND SECURITIES

NEW ENGLAND SECURITIES

Primary Firm SEC Registration

PKS ADVISORY SERVICES, LLC

State Registrations and Notice Filings

Exams

Series 65

Date: 8/11/2003

Series 63

Date: 2/11/2002

SIE

Date: 10/1/2018

Series 7

Date: 5/14/2002

Series 6

Date: 10/13/1999

Current Firm

PKS ADVISORY SERVICES, LLC

Contact information

SEC notice filing (36 States and Territories)

Documents

Part 2 Brochures

Regulatory assets under management

Red Flags

Company Information

PKS ADVISORY SERVICES, LLC

TRUST BUT VERIFY

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