William J. Carroll
Professional summary
William James Carroll is a registered financial advisor currently at BANKERS LIFE ADVISORY SERVICES, INC. located in Beachwood, Ohio and BANKERS LIFE SECURITIES, INC. located in Beachwood, Ohio.
William is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 2022. William has worked at 2 firms and has passed the Series 66, Series 7TO, SIE and Series 6 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary) - RIA
Click below to view William James Carroll's CRS (Customer Relationship Summary).
Certified licenses
Experience
June 15, 2022 - Present
BANKERS LIFE ADVISORY SERVICES, INC.
Office #1: 25101 Chagrin Boulevard Ste 170, Beachwood, OH 44122May 10, 2022 - Present
BANKERS LIFE SECURITIES, INC.
Office #1: 25101 Chagrin Boulevard Ste 170, Beachwood, OH 44122Primary Firm SEC Registration
BANKERS LIFE ADVISORY SERVICES, INC.
CRD#: 281285 / SEC#: 801-106953
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
Visual representation of state registrations
(6/15/2022)
(6/15/2022)
Exams
Series 7TO
Date: 5/10/2022
General Securities Representative ExaminationFINRA
Current Firm
BANKERS LIFE ADVISORY SERVICES, INC.
CRD#: 281285 / SEC#: 801-106953
Contact information
SEC notice filing (52 States and Territories)
Regulatory assets under management
| Total Number of Accounts | 14,938 |
| AUM (Assets Under Management) | $ 1,943,847,697 |
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.
