Gregory Carroll is a CFP-designated registered investment advisor at Wwm Financial, based in Carlsbad, CA, with 31 years of industry experience. Gregory operates on a fee-only basis, meaning they do not earn commissions from product sales. Their practice areas include Business Owners, Charitable Giving, Education Planning, Estate Planning, and 7 more. Their firm serves 570 clients with $380M 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 | 1.50% |
Maximum annual fee is up to 1.50%. For accounts over $10,000,000 in aggregate, a flat annual fee may be arranged upon mutual agreement.
Fee Estimator
Location
2131 Palomar Airport Road, Suite 330, Carlsbad, CA, 92011
Get directionsHistory
Regulatory History (2)
Customer Dispute
March 2008Criminal
January 1984Other Business Activities
Gregory owns rental properties in San Diego, CA, since 2000. He spends minimal time on this non-investment related activity.
Employment History
Current Registrations
Wwm Financial
Previous Registrations
Sterling Global Strategies, LLC
Apw Capital, INC.Broker
Sterling Global Strategies LLC
Torrey Pines Securities, INC.Broker
Torrey Pines Securities, INC.
Sterling Wealth Management Group, INC.
Nrp Advisors, INC.
Nrp Financial, INC.Broker
UBS Financial Services INC.
UBS Financial Services INC.Broker
Salomon Smith Barney INC.Broker
Thomas James Associates, INC.Broker
Chatfield Dean & CO., INC.Broker
State Registrations1 state
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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