Johanne Carroll is a registered investment advisor, based in Mobile, AL, with 22 years of industry experience.
Location
3704 Dauphin St, Mobile, AL, 36608
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Regulatory History
Clean regulatory record
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.
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Johanne works as a Senior Registered Client Associate for SmartBank and SmartBank Investment Services since 2021. These roles take about half of Johanne's time.
Employment History
Current Registrations
Raymond James Financial Services, INC.Broker
November 2021 - Present · 4 yrs 10 mos
Raymond James Financial Services Advisors, INC
November 2021 - Present · 4 yrs 10 mos
Previous Registrations
PNC InvestmentsBroker
August 2021 - November 2021 · 3 mos
PNC Investments
August 2021 - November 2021 · 3 mos
PNC Managed Account Solutions, INC.
June 2021 - August 2021 · 2 mos
Bbva Securities INC.Broker
May 2013 - August 2021 · 8 yrs 3 mos
Bbva Compass Investment Solutions, INCBroker
October 2003 - May 2013 · 9 yrs 7 mos
State Registrations1 state
AL
AdvisorBrokerBoth
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
No exam information available for this advisor.