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Philip Carroll

Morgan Stanley

Fort Lauderdale, FL

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Current Employers
Morgan Stanley

2000 Westchester Avenue, Purchase, NY 10577-2530 • United States

Current Registrations

AuthorityCategoryStatusDate
FL RA APPROVED 2025-09-25
TX RA APPROVED_RES 2025-09-25
  • FL RA
    APPROVED
    Since 2025-09-25
  • TX RA
    APPROVED_RES
    Since 2025-09-25

Branch Locations

350 East Las Olas Boulevard Suite 1500, Fort Lauderdale, FL 33301 • 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
Edelman Financial Services Llc Fairfax VA 01/2011 07/2020
Ef Legacy Securities, Llc New York NY 04/2016 10/2018
Financial Engines Advisors L.L.C. Sunnyvale CA 10/2018 07/2020
Hennion & Walsh, Inc. Parsipanny NJ 12/2020 05/2021
Charles Schwab & Co., Inc. Ft. Lauderdale FL 05/2021 09/2025
Charles Schwab Bank, Ssb Ft. Lauderdale FL 05/2021 09/2025
Unemployed New York NY 07/2020 11/2020
Morgan Stanley Fort Lauderdale FL 09/2025 Present
  • 01/2011 → 07/2020
    Edelman Financial Services Llc
    Fairfax, VA
  • 04/2016 → 10/2018
    Ef Legacy Securities, Llc
    New York, NY
  • 10/2018 → 07/2020
    Financial Engines Advisors L.L.C.
    Sunnyvale, CA
  • 12/2020 → 05/2021
    Hennion & Walsh, Inc.
    Parsipanny, NJ
  • 05/2021 → 09/2025
    Charles Schwab & Co., Inc.
    Ft. Lauderdale, FL
  • 05/2021 → 09/2025
    Charles Schwab Bank, Ssb
    Ft. Lauderdale, FL
  • 07/2020 → 11/2020
    Unemployed
    New York, NY
  • 09/2025 → Present
    Morgan Stanley
    Fort Lauderdale, FL
Previous Registrations
Exams
CodeExamDate
S66 Uniform Combined State Law Examination 2012-06-25
S63 Uniform Securities Agent State Law Examination 2007-03-14
  • S66 Uniform Combined State Law Examination
    2012-06-25
  • S63 Uniform Securities Agent State Law Examination
    2007-03-14
Other Names
  • Philip R Carroll
  • Philip Carroll

View on SEC IAPD

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