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JE

John Elwood Carroll

Investment Adviser Representative at INDEPENDENT FINANCIAL PARTNERS

Alexandria, LACRD #4515569Dual-registered
No disclosures on record
Sourced from SEC IAPD & FINRA BrokerCheck
Years of Experience
24 yrs
States Registered
5 states
Exams Passed
4

Registrations & licenses

Registration type
Dual-registered
Registered in 5 states
AlabamaGeorgiaLouisianaMississippiTexas
Examinations passed
Series 66
Uniform Combined State Law Examination
Passed 5/30/2002
SIE
Securities Industry Essentials Examination
Passed 10/1/2018
Series 31
Futures Managed Funds Examination
Passed 5/5/2005
Series 7
General Securities Representative Examination
Passed 5/20/2002

Approximate fees

Estimated from the firm's Form ADV — individual terms may differ. Not a quote.

Primary fee model
Assets Under Management (AUM)
Asset tierAnnual rate
Less than $30,000,0001.65%
Greater than or equal to $30,000,000 but less than $60,000,0001.25%
Greater than or equal to $60,000,000 but less than $90,000,0001.10%
Greater than $90,000,0001.00%
Source

Independent Financial Partners Form ADV Part 2A (Item 5), most recent annual amendment.

Employment history

Registration history as reported to FINRA, most recent first.

INDEPENDENT FINANCIAL PARTNERSCurrent
11/17/2014Alexandria, LA
LPL FINANCIAL LLC
3/21/20185/23/2019Alexandria, LA
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
1/20/200311/19/2014Alexandria, LA
LEGG MASON WOOD WALKER INC
6/3/20021/30/2003Ponte Vedra Beach, FL

Official records & sources

Data as of August 10, 2026 · Source: SEC IAPD & FINRA BrokerCheck

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About this profile

This profile was compiled and published by AdvisorFinder as editorial content using publicly available information from the SEC's IAPD database and FINRA BrokerCheck. John Elwood 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.

John Elwood Carroll - Financial Advisor in Alexandria, LA | AdvisorFinder