James Carroll
James Carroll is a ChFC-designated registered investment advisor at Geneos Wealth Management, INC., based in Selkirk, NY, with 44 years of industry experience. James is also registered as a broker, so some compensation may come from commissions on products sold. Their practice areas include Alternative Investments, Annuities, Education Planning, Estate Planning, and 6 more. Their firm serves 21,668 clients with $9.2B in assets under management.
Compensation
Firm Size
Number of Clients
Average Client Portfolio
Assets Under Management
Fee Structure
Portfolio-Based Fees (Flat)
| Portfolio Value | Annual Fee |
|---|---|
| Any | 2.50% |
Annual management fees are negotiated between you and your representative, ranging from 0.00% to 2.50%. The firm specifies a minimum account fee floor of 0.50%.
Fee Estimator
Location
Selkirk, NY
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Regulatory History
No disclosures, customer disputes, or regulatory actions on file.
Disclosures include customer complaints, regulatory actions, and other events that advisors must report to the SEC. A clean record means none have been reported.
Learn about disclosures →Other Business ActivitiesSells Insurance
James operates under the DBA James R Carroll CLU ChFC IAR at the branch location. He is also an independent representative with various insurance carriers, focusing on fixed insurance products.
Employment History
Current Registrations
Geneos Wealth Management, INC.
Geneos Wealth Management, INC.Broker
Previous Registrations
Geneos Wealth Management, INC.
Hornor, Townsend & Kent, INC.
Hornor, Townsend & Kent, INC.Broker
Aetna Life Insurance and Annuity CompanyBroker
Monarch Securities, INC.Broker
State Registrations7 states
You can work with an advisor not registered in your state. Most advisors can legally serve a small number of clients across state lines without registering.
Exams
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