Advisor at Regal Advisory Services, Inc.
Data sourced from SEC public records (and other sources when available). Some details may be added by the advisor after claiming their profile. Refreshed daily • Updated today.
Firm
Regal Advisory Services, Inc.
Location
Fort Myers, FL 33916
Credentials
Series 63, Series 65
Industry experience
1 year
George Carroll is a financial advisor at Regal Advisory Services, Inc. with one year of industry experience. He holds Series 63 and Series 65 designations. His prior work includes roles at Regal Securities, Valuable Capital Securities, and Loyola Marymount University. Regal Advisory Services, Inc. serves individuals, corporations, retirement plans, trusts, foundations, and institutional clients through a team of 15 advisors managing approximately $113.5 million in assets. The firm employs a blend of fundamental and quantitative research to tailor investment strategies across various asset types, including individual equities, ETFs, options, alternative investments, and non-traded REITs.
Based on Regal Advisory Services, Inc.
Based on Regal Advisory Services, Inc.
Fixed financial planning fees generally range from $1,000 to $10,000
Transaction fees charged per securities transaction with premiums added by Regal Securities; commissions earned on securities transactions by Regal Securities; insurance product commissions
Financial planning fees generally range from $100 to $275 per hour
Ongoing financial planning retainer fee generally ranges from $5,000 to $10,000 annually, billed quarterly
4300 Ford Street Ext, Suite 103
Fort Myers, FL 33916
California · Florida · Illinois
Regal Securities
2024 - Present (2 years)
Loyola Marymount University
2023 - 2024 (1 year)
Valuable Capital Securities
2023 - 2023 (1 year)
Loyola Marymount University
2021 - 2023 (2 years)
Biltmore Country Club
2021 - 2021 (1 year)
Loyola Marymount University
2020 - 2021 (1 year)
Regal Securities
2019 - 2019 (1 year)
Carmel High School
2019 - 2020 (1 year)
Biltmore Country Club
2018 - 2018 (1 year)
Genosouce
2017 - 2017 (1 year)
Lake Forest Academy
2016 - 2018 (2 years)
UNEMPLOYED
2014 - 2016 (2 years)
Exclamation point means they have disclosures of this type. Check mark means no disclosures of this type were found.
Is active or affiliated with:
Insurance agent
They sell insurance products and may earn commissions on those sales.
Broker-dealer / trader
They provide brokerage services and may earn transaction-based compensation in addition to advisory fees.
Is not active or affiliated with:
Bank
They're affiliated with a bank that may offer its own financial products and services.
Trust company
They provide trust and estate administration services, typically for separate fees.
Fund sponsor
They manage or sponsor investment funds and may earn management or performance-based fees if clients invest in them.
Accountant / CPA / tax prep
They offer tax and accounting services, typically for separate fees.
Lawyer
They provide legal services, typically billed separately.
Real estate agent
They facilitate real estate transactions and may earn commissions.
Other specialized services
They may provide services such as pension consulting or municipal advisory work, typically for separate fees.
CFP®, Series 63, Series 65
Sanibel, FL
Bloomfield Asset Management, Inc.
Series 63, Series 66
Ft. Myers, FL
Silver Thread Investments
Series 66
Fort Myers, FL
Roscoe Capital Management, LLC
Series 66
Fort Myers, FL
CPK Wealth Management LLC
CFP®, Series 63
Cape Coral, FL
Legacy Wealth Management, Inc.
Series 65
Fort Myers, FL
Lange Asset Management, Inc.
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