James Wilson Carroll

Current Employers

Pnc Wealth Management Llc

300 Fifth Avenue 26Th Floor, Pittsburgh, PA 15222-2722 • United States

Current Registrations

Authority	Category	Status	Date
PA	RA	APPROVED	2026-01-26
MD	RA	APPROVED	2024-09-12

PA RA
APPROVED

Since 2026-01-26
MD RA
APPROVED

Since 2024-09-12

Branch Locations

588 Jermor Lane, Westminster, MD 21157 • United States

459 East Baltimore Street, Taneytown, MD 21787 • United States

2325 Hanover Pike, Hampstead, MD 21074 • United States

Disclosures

2 disclosure categories reported Yes on this SEC record. Read each Yes below, then review the firm’s Form ADV Item 11 guide for how disclosure questions work.

Regulatory action No
Criminal No
Bankruptcy Yes
Civil judicial No
Bond No
Judgment / lien Yes
Investigation No
Customer complaint No
Termination No

Employment History

Organization	City	State	From	To
Merrill Lynch, Pierce, Fenner & Smith Incorporated	Hunt Valley	MD	09/2014	07/2024
Bank Of America, N.A.	Hunt Valley	MD	08/2017	07/2024
Pnc Investments Llc	Hampstead	MD	07/2024	Present

09/2014 → 07/2024

Merrill Lynch, Pierce, Fenner & Smith Incorporated

Hunt Valley, MD
08/2017 → 07/2024

Bank Of America, N.A.

Hunt Valley, MD
07/2024 → Present

Pnc Investments Llc

Hampstead, MD

Previous Registrations

2017-09-19 → 2024-08-02

Merrill Lynch, Pierce, Fenner & Smith Incorporated

Hunt Valley, MD

Exams

Code	Exam	Date
S66	Uniform Combined State Law Examination	2017-09-11

S66 Uniform Combined State Law Examination

2017-09-11

Other Names

Jim Carroll
James Carroll
James Wilson Carroll

View on SEC IAPD