James Robinson Carroll

Employer firm

Wells Fargo Advisors Financial Network, LLC CRD 11025

$252B regulatory AUM 2,990 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:

• Item 5F — Regulatory AUM
• Item 5G — Advisory services
• Full firm profile

Current Employers

Employment History

• 05/2015 → Present
  Wells Fargo Advisors Financial Network, Llc
  Raleigh, NC

Previous Registrations

• 2008-01-01 → 2015-05-07
  Wells Fargo Clearing Services, Llc
  Raleigh, NC
  Raleigh, NC
• 2004-04-07 → 2008-01-01
  A. G. Edwards & Sons, Inc.
  Raleigh, NC
  Raleigh, NC
  St. Louis, MO

Other Businesses

BLUE HORSESHOE CAPITAL INC, INVT RELATED, RALEIGH, NC, 100% OWNERSHIP, START 5/1/2015, 5 HRS PER MONTH, 0 HRS DURING TRADING, FOR FINET PRACTICE.| RENTAL PROPERTY; INV. RELATED; SOUTHPORT, NC; 100% OWNERSHIP; START 3/08/2025; NUMBER OF HOURS PER MONTH 1; NUMBER OF HOURS DURING TRADING 0| FIRST FLIGHT FINANCIAL ADVISORS LLC; INV. RELATED; RALEIGH,NC; 16.67% OWNERSHIP; START 1/1/2018; NUMBER OF HOURS PER MONTH 1; NUMBER OF HOURS DURING TRADING 0; PASS THROUGH FOR FINET EXPENSES.| COMMERCIAL RENTAL PROPERTY, INV RELATED, SOUTHPORT, NC, 100% OWNERSHIP, START 5/20/2022, 3 HOURS PER MONTH, ZERO HOURS DURING TRADING.| ANACOTT VENTURES LLC, INV RELATED, RALEIGH, NC, 100% OWNERSHIP, START 3/28/2022, 4 HOURS PER MONTH, ZERO HOURS DURING TRADING, HOLDS RENTAL PROPERTY.| COMMERCIAL RENTAL PROPERTY, INV RELATED, SOUTHPORT, NC, 100% OWNERSHIP, START 6/1/2022, 3 HOURS PER MONTH, ZERO HOURS DURING TRADING. TRUSTEE FOR BLUE HORSESHOE; INV RELATED; RALEIGH,NC; TRUSTEE; START DATE: 05/01/2015; 1 HRS PER MONTH; 1 HRS DURING TRADING;

Exams

• S66 Uniform Combined State Law Examination
  2004-04-06
• S63 Uniform Securities Agent State Law Examination
  1998-08-21

Other Names

• James Robinson Carroll