George James Carroll
Professional Summary
George James Carroll is a registered financial advisor currently at REGAL ADVISORY SERVICES, INC. located in Glenview, Illinois and REGAL SECURITIES, INC. located in Glenview, Illinois. George is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 2024. George has worked at 2 firms and has passed the Series 65, Series 63, Series 7TO, SIE and Series 24 exams.
At a Glance
Fiduciary Standard
Fee Structure
Account Minimum
Active Clients
Fiduciary Standard
Fee Structure
Account Minimum
Active Clients
Other Aliases
There are no additional aliases reported.
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Videos & Posts
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Contact Information
This advisor has not claimed their profile yet, so there is no contact information to display at this time.
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Disclosures on record.
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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Years of Experience
4 years registered in the securities industry
Current & Past Employments
Current
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Current Firm
REGAL ADVISORY SERVICES, INC.
Contact Information
Main Address
950 North Milwaukee Avenue Suite 101, Glenview, IL 60025-3771Phone Number
(877) 488-6537# of Employees
25SEC notice filing (15 States and Territories)
Registered to provide investment advisory services in 15 US states and territories.
Documents
Part 2 Brochures
Regulatory Assets Under Management
Total Number of Accounts
274AUM (Assets Under Management)
$121,430,017Similar Advisors
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Other business activities
Information obtained from regulatory filings. Advisors can request corrections through their firm or regulator.
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.
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Primary Firm SEC Registration
REGAL ADVISORY SERVICES, INC.
State Registrations and Notice Filings
(10/25/2024)
(10/2/2025)
(10/2/2025)
(4/11/2025)
(11/14/2024)
(12/9/2025)
(10/24/2024)
(10/24/2024)
(8/15/2025)
(1/6/2026)
(3/6/2025)
(1/24/2025)
(9/28/2026)
(4/7/2026)
(4/2/2026)
(2/20/2026)
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.Note:This rule does not apply to broker-dealer activity.
Exams
Financial professionals may take different exams throughout their careers based on the types of services they provide and roles they perform.
SRO Registrations
SRO Registrations
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CRS (Client Relationship Summary) - RIA
Click below to view George James Carroll's CRS (Customer Relationship Summary).
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