Unclaimed Profile

James Shelton Carroll

FIAM LLC·SMITHFIELD, Rhode Island

FIAM LLC

900 SALEM STREET, SMITHFIELD, RI 02917CRD# 5149207Firm CRD# 133196

Profile Verification

Sourced · FINRA · SEC · CFP Board · Self-disclosed

Identity

James Shelton Carroll · SMITHFIELD, RI

Registration

CRD #5149207 · FIAM LLC

Brand Profile

Not yet started

Disclosure history

2 disclosures on file · See FINRA BrokerCheck for full record

About

James Shelton Carroll is a registered financial advisor based in SMITHFIELD, Rhode Island, affiliated with FIAM LLC. This profile is generated from public SEC and FINRA registration data.

Focus Areas

Specialties

Investment Management

Retirement Planning

Wealth Management

Client Types

Individuals

Institutional Investors

Pension & Retirement Plans

Introduction

Speak with James

No cost, no commitment — we'll confirm availability and reply within 2 business days.

Not sure if James is the right fit? Take our 2-minute quiz →

Firm Overview

Firm

FIAM LLC

AUM

$219.2B

Regulatory assets under management

Employees

168

Total firm employees

View all advisors at FIAM LLC →

Services

Portfolio management (individuals)

Portfolio management (pooled investments)

Pension consulting

Selection of other advisers

Publication of periodicals/newsletters

Security ratings or pricing services

Other

Background

Compensation

Percentage of AUM

Performance-based fees

Other: ADMINISTRATION FEES. PERCENTAGE OF REVENUE FROM AFFILIATES

Regulatory

SEC/IARD CRD# 5149207

Firm CRD# 133196

View on FINRA BrokerCheck →

Looking for a financial advisor in SMITHFIELD?

Browse all registered financial advisors in SMITHFIELD, Rhode Island or claim this profile if it's yours.

Browse SMITHFIELD Advisors Are you this advisor? Claim profile

Frequently Asked Questions

What services does James Shelton Carroll offer?

James Shelton Carroll specializes in Investment Management, Retirement Planning, Wealth Management. Contact their office in SMITHFIELD, Rhode Island for a consultation.

What are James Shelton Carroll's credentials?

James Shelton Carroll is a registered investment adviser representative. Check their firm's Form ADV filing for detailed qualification information.

Where is James Shelton Carroll located?

James Shelton Carroll is based in SMITHFIELD, Rhode Island, working with FIAM LLC. Their office serves clients in the SMITHFIELD metropolitan area and surrounding communities.

How does James Shelton Carroll charge for services?

James Shelton Carroll's firm is compensated through percentage of aum, performance-based fees, other: administration fees. percentage of revenue from affiliates. Always review the firm's Form ADV Part 2 for complete fee details before engaging an advisor.

How large is FIAM LLC?

FIAM LLC has approximately 168 employees and manages $219.2B in regulatory assets under management. The firm is registered with the SEC as an investment adviser.

Not sure what to look for in an advisor?

Try our free Advisor Match Quiz →