George Carroll has been an investment adviser representative at Regal Advisory Services since October 2024, and is not listed among the firm’s executive officers or direct owners.
Regal Advisory Services, Inc. is a Glenview, IL firm with $121M under management, 274 clients and 16 advisers across 13 offices, as of its July 2026 filing.
- – present · 1 yearGlenview, IL · Adviser representative · Firm CRD 123842
Investment adviser representative registrations
George Carroll is registered as an investment adviser representative in 3 states. The first approvals date from October 2024; the most recent is Florida, in November 2024.
- CaliforniaSince 25 October 2024
- FloridaSince 14 November 2024
- IllinoisSince 24 October 2024
Examinations
| Exam | Name | Passed |
|---|---|---|
| Series 24 | General Securities Principal Examination | 10 August 2026 |
| Series 65 | Uniform Investment Adviser Law Examination | 23 October 2024 |
| Series 63 | Uniform Securities Agent State Law Examination | 28 August 2024 |
| Series 7TO | General Securities Representative Examination | 25 June 2024 |
| SIE | Securities Industry Essentials Examination | 19 June 2022 |
- Name
- General Securities Principal Examination
- Name
- Uniform Investment Adviser Law Examination
- Name
- Uniform Securities Agent State Law Examination
- Name
- General Securities Representative Examination
- Name
- Securities Industry Essentials Examination
- Full name
- George James Carroll
- CRD
- 7676014
- Firm
- Regal Advisory Services · CRD 123842
- Office
- 950 NORTH MILWAUKEE AVENUE, SUITE 101, Glenview, IL 60025-3771
- Registration
- Investment adviser and broker registrations
- In the industry since
- June 2024
- Disciplinary history
- Not yet shown here · SEC record · BrokerCheck
Where does George Carroll work?
George Carroll is an investment adviser representative registered through Regal Advisory Services, Inc. since October 2024, and is not listed among the firm’s executive officers or direct owners.
Is George Carroll a financial advisor?
Yes. George Carroll has a current investment-adviser registration in California, Florida and Illinois, through Regal Advisory Services since October 2024.
How many years of experience does George Carroll have?
George Carroll has 2 years in the financial industry, since June 2024, across 1 adviser firm.
What exams has George Carroll passed?
George Carroll has passed 5 licensing exams: the SIE, Series 7TO, Series 63, Series 65 and Series 24. The earliest, the SIE, was passed in June 2022.
Where is George Carroll based?
George Carroll’s registered office is in Glenview, IL.
Is George Carroll registered with FINRA?
Yes. George Carroll has a current broker registration, under CRD 7676014.
Source: FINRA BrokerCheck
How can I verify George Carroll’s record?
Search CRD 7676014 on the SEC’s adviser search (adviserinfo.sec.gov) and FINRA’s broker search (brokercheck.finra.org), which publish George Carroll’s full registration record.