George James Carroll
Investment Adviser Representative at Regal Advisory Services, Inc.
Professional summary
Compiled by AdvisorFinder from public regulatory records. This advisor has not provided a personal biography.
George James Carroll is an investment adviser representative with Regal Advisory Services, Inc. in Fort Myers, FL, where they have been registered since 2024, the year they entered the securities industry. They have passed 4 industry qualification exams, including the Series 65 (investment adviser), Series 7 (general securities representative), and Series 63 (state securities agent). They are registered to provide investment advice in California, Florida, and Illinois.
Registrations & licenses
- Investment adviser:
- California, Florida, Illinois
- Broker:
12 states and territories
California, Colorado, Delaware, Florida, Illinois, Iowa, Missouri, New York, Ohio, Texas, Virginia, Wisconsin
Registration requirements vary by state and service. Contact the advisor's firm to confirm whether they can serve you.
Financial-firm registration history
Registration history as reported to FINRA, most recent first.
Reported employment history
Employment the advisor reported on their SEC/FINRA filings, as of October 8, 2026. It may not be a complete history.
- Lake Forest AcademyAug 2016 – Dec 2018Lake Forest, IL
- Carmel High SchoolJan 2019 – May 2020Mundelein, IL
- Biltmore Country ClubMay 2018 – Sep 2018Barrington, IL
- Loyola Marymount UniversityAug 2023 – May 2024Los Angeles, CA
- Biltmore Country ClubJun 2021 – Aug 2021Barrington, IL
- Regal SecuritiesMay 2019 – Sep 2019Glenview, IL
- Valuable Capital SecuritiesJun 2023 – Aug 2023Irvine, CA
- GenosouceJun 2017 – Aug 2017Blairstown, IA
- Loyola Marymount UniversityJun 2020 – May 2021Los Angeles, CA
- Loyola Marymount UniversityAug 2021 – May 2023Los Angeles, CA
- Regal SecuritiesMay 2024 – no end date reportedGlenview, IL
Official records & sources
Data as of June 26, 2026 · Source: SEC IAPD & FINRA BrokerCheck
About Regal Advisory Services, Inc.
These details describe the firm overall. Individual advisors' services, clients, and fees may differ.
Fee arrangements the firm reports
- Percentage of assets under management
- Fixed fee
- Estimated blended rate
- 0.02
Arrangements the firm reports on its Form ADV; this advisor may not charge every fee listed. Estimated from the firm's Form ADV — individual terms may differ. Not a quote.
Services the firm offers
Client types the firm serves
Firm assets under management
$100M–$500M
- Firm disclosures (Form ADV)
- Disciplinary history reportedVerify on SEC IAPD
- Advisors listed on AdvisorFinder:
- 24
- Offices listed on AdvisorFinder:
- 8
- Main office:
- Glenview, IL
- SEC file number:
- 801-71619
Counts reflect AdvisorFinder directory coverage, not necessarily the firm's complete network.
Form ADV data as of July 31, 2026
View full firm profileOther advisors at Regal Advisory Services, Inc.
Showing 12 of 24 in the directory
Similar advisors in Fort Myers, FL
Other advisors whose filed branch office is in the same city.
This profile was compiled and published by AdvisorFinder as editorial content using publicly available information from the SEC's IAPD database and FINRA BrokerCheck. George James Carroll has not reviewed, approved, or endorsed this profile and is not responsible for its accuracy. Regulatory records change over time — always verify the current record directly on BrokerCheck or SEC.gov before making any decision. AdvisorFinder may be compensated for referrals generated through this page.
BrokerCheck data is used subject to the FINRA BrokerCheck Terms of Use. Found something inaccurate? Report inaccurate data and we will correct any error we introduced. Errors in the underlying BrokerCheck record itself are referred to FINRA, which maintains that record.
Find the right advisor for you
Take the free 3-minute assessment to get matched with advisors who fit your goals.
Get Matched