JC
JC
James Carroll
9 Years of Experience
Hampstead, MD
3 DisclosuresBroker
James Carroll is a registered investment advisor at PNC Wealth Management, based in Hampstead, MD, with 9 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 Investment Management. Their firm serves 164,105 clients with $30B in assets under management.
Compensation
Fee-Only (% of Portfolio)
Firm Size
1167 advisors
Number of Clients
164,105 clients
Average Client Portfolio
$184K average
Assets Under Management
$30.3B
Fee Structure
Minimum Investment:$5K
Investment management only (planning not offered)
Portfolio-Based Fees (Flat)
| Portfolio Value | Annual Fee |
|---|---|
| Any | 0.85% |
An annual fee of 0.85% applies to all accounts regardless of size.
Fee Estimator
Your Portfolio Value
$500K
$0$500K$1M$5M$20M
Estimated Annual Fee
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Location
2325 Hanover Pike, Hampstead, MD, 21074
Get directionsHistory
Regulatory History (3)
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Judgment / Lien
July 2024Judgment / Lien
November 2023Financial
August 2017Final
Employment History
Current Registrations
PNC Wealth Management LLCBroker
August 2024 - Present · 2 yrs 2 mos
PNC Wealth Management
August 2024 - Present · 2 yrs 2 mos
Previous Registrations
Merrill Lynch, Pierce, Fenner & Smith Incorporated
September 2017 - August 2024 · 6 yrs 11 mos
Merrill Lynch, Pierce, Fenner & Smith IncorporatedBroker
August 2017 - August 2024 · 7 yrs
State Registrations3 states
DEMDPA
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.
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