John Michael Carroll

CRD 2414877 · Morgan Stanley · Boston, MA

IA RegisteredBroker

Also appears in the source record as: John M Carroll; Jay Carroll

Registration & licensing

As recorded in SEC IAPD / FINRA BrokerCheck

Broker-dealer registration: Active
Investment adviser registration: Active
Exams passed (6): Series 65Series 63Series 24SIESeries 7Series 6
Registered states (34): Arizona · California · Colorado · Connecticut · Delaware · District Of Columbia · Florida · Georgia · Hawaii · Illinois · Kansas · Maine · Maryland · Massachusetts · Minnesota · Mississippi · Nevada · New Hampshire · New Jersey · New York · North Carolina · Ohio · Oregon · Pennsylvania · Puerto Rico · Rhode Island · South Carolina · Tennessee · Texas · Utah · Vermont · Virginia · Washington · Wisconsin
Years in the industry (source record): 32
Professional designations: Not yet retrieved from the source record

Disclosures

Copied from the official record

The official record for CRD 2414877 contains one or more disclosure events as of Aug 20, 2026.

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Current firm

From the firm record

Firm: Morgan Stanley
Firm CRD: 149777
SEC number: 801-70103
Assets under management: $2.0T as of Jun 30, 2026
Website: www.morganstanley.com ↗
Phone: 914-225-5510
Firm location: Purchase, NY, 10577-2530

Employment history (7)

From the source registration record · current first

Morgan StanleyCurrent
Boston, MA · IA capacity

Aug 1, 2019 → present
Boston Private Wealth
IA capacity

Nov 14, 2014 → Mar 7, 2018
Banyan Partners, LLC
IA capacity

Feb 18, 2011 → Nov 26, 2014
Lpl Financial LLC
IA capacity

Apr 4, 2006 → Feb 10, 2011
Lpl Financial LLC
BD capacity

Jan 24, 2003 → Feb 10, 2011
Signator Investors, Inc.
BD capacity

Feb 7, 1994 → Feb 4, 2003
John Hancock Mutual Life Insurance Company
BD capacity

Feb 7, 1994 → May 1, 1997

Source & corrections

Where this page comes from

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