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RIA / WealthAdvisordual registered (broker-dealer)20 years in industry

JOHN MICHAEL CARROLL

Advisor at MORGAN STANLEY

Boston, MA

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Data as of Sep 14, 2026 (this record's last observation) from federal regulator filings. Page built Sep 19, 2026, 11:18 AM UTC and rebuilt at most every 15 minutes.

Relationships: 4
Dated events: 0
On other graphs: 0
Observed: Apr 4, 2006 to Sep 14, 2026

Across DFX

This entity has not been resolved onto another DFX graph by a shared identifier. A name match elsewhere would be a candidate, never an identity, and none is recorded.

Facts

fact = as filed or announced; derived = computed by DFX; estimate = a band, never a point

Current firm: MORGAN STANLEY
Current firm class: wirehousederived
Book size: not publicno per-advisor AUM is published by the SEC, FINRA or IAPD, and DFX estimates none
Industry start: Apr 4, 2006earliest registration or exam on IAPD
Years in industry: 20derivedfrom the industry start date
Years at current firm: 7derivedfrom the current registration's begin date
Prior firms: 3
Current registrations: 1
Registered states: 3
Exams: S65|S63
First exam: Mar 17, 2018
First registration: Apr 4, 2006
Dual registered: yes, broker-dealer
Other names: JOHN M CARROLL|Jay Carroll
IAPD individual key: 2414877

Registration history

registration spans on IAPD; the basis says whether the span is a current registration or a prior employment record

Firm	Class	Began	Ended	Current	Branch	Basis
MORGAN STANLEY	Wirehouse	Aug 1, 2019	n/a	yes	Boston, MA	Current employment
SVB WEALTH	Independent wealth	Nov 14, 2014	Mar 7, 2018	no	BOSTON, MA	Previous registration
BANYAN PARTNERS, LLC	Former SEC adviser	Feb 18, 2011	Nov 26, 2014	no	BOSTON, MA\|BOSTON, MA\|PALM BEACH GARDENS, FL	Previous registration
LPL FINANCIAL LLC	Bd affiliated wealth	Apr 4, 2006	Feb 10, 2011	no	BOSTON, MA	Previous registration

Moves

a move is two registration dates; a bulk corporate re-registration is typed BULK_TRANSFER and is not a move

From	To	Left	Joined	Gap, days	Kind	Move type
SVB WEALTH	MORGAN STANLEY	Mar 7, 2018	Aug 1, 2019	512	Firm change after gap	Other
BANYAN PARTNERS, LLC	SVB WEALTH	Nov 26, 2014	Nov 14, 2014	-12	Bulk transfer	Other
LPL FINANCIAL LLC	BANYAN PARTNERS, LLC	Feb 10, 2011	Feb 18, 2011	8	Firm change	Other

Relationships

Registered with (4)

→ MORGAN STANLEYRegistered adviserregistration: current employment
Aug 1, 2019 to presentfactForm ADV
→ SVB WEALTHRegistered adviserregistration: previous registration
Nov 14, 2014 to Mar 7, 2018factForm ADV
→ BANYAN PARTNERS, LLCRegistered adviserregistration: previous registration
Feb 18, 2011 to Nov 26, 2014factForm ADV
→ LPL FINANCIAL LLCRegistered adviserregistration: previous registration
Apr 4, 2006 to Feb 10, 2011factForm ADV

Dated events

No dated event names this entity yet.