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William Gerard Carroll

Wells Fargo Clearing Services, LLC

Tarpon Springs, FL

Melville, NY

CRD 4585055

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Employer firm

Wells Fargo Clearing Services, LLC CRD 19616

$671B regulatory AUM 5,302 advisory clients

Reported services (Item 5G)

  • Financial planning
  • Portfolio management (individuals)
  • Portfolio management (institutions)
  • Pension consulting
  • Selection of other advisers
  • INVESTMENT CONSULTING SERVICES TO INSTITUTIONAL CLIENTS

From the firm’s Form ADV. Read the guides:

Current Employers
Wells Fargo Clearing Services, Llc

One North Jefferson Avenue Mail Code: H0004-05E, St. Louis, MO 63103-2205 • United States

Current Registrations

AuthorityCategoryStatusDate
NJ RA APPROVED 2016-12-21
  • NJ RA
    APPROVED
    Since 2016-12-21

Branch Locations

101 Federal Pl Ste 101 [Regional Supervision], Tarpon Springs, FL 34689 • United States

68 S Service Rd Ste 200, Melville, NY 11747 • United States

Disclosures

No disclosure categories reported as “Yes” on this SEC record.

  • Regulatory action No
  • Criminal No
  • Bankruptcy No
  • Civil judicial No
  • Bond No
  • Judgment / lien No
  • Investigation No
  • Customer complaint No
  • Termination No
Employment History
OrganizationCityStateFromTo
Wachovia Bank, N.A. Hartsdale NY 11/2004 Present
Wells Fargo Advisors Llc New York NY 05/2009 11/2016
Wells Fargo Clearing Services, Llc New York NY 11/2016 Present
  • 11/2004 → Present
    Wachovia Bank, N.A.
    Hartsdale, NY
  • 05/2009 → 11/2016
    Wells Fargo Advisors Llc
    New York, NY
  • 11/2016 → Present
    Wells Fargo Clearing Services, Llc
    New York, NY
Other Businesses

NOTARY PUBLIC, NOT INV RELATED, GARDEN CITY, NY, START: 6/12/2023, 0 HOURS A MONTH, 0 HOURS DURING TRADING.

Exams
CodeExamDate
S66 Uniform Combined State Law Examination 2016-12-20
S63 Uniform Securities Agent State Law Examination 2004-03-02
  • S66 Uniform Combined State Law Examination
    2016-12-20
  • S63 Uniform Securities Agent State Law Examination
    2004-03-02
Other Names
  • William Carroll

View on SEC IAPD

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