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RIA / WealthAdvisorCertified Financial Planner31 years in industry

GREGORY JAMES CARROLL

Advisor at WWM FINANCIAL

Carlsbad, CA

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Data as of Sep 14, 2026 (this record's last observation) from federal regulator filings. Page built Sep 19, 2026, 7:42 AM UTC and rebuilt at most every 15 minutes.

Relationships: 7
Dated events: 0
On other graphs: 0
Observed: Jul 27, 2001 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: WWM FINANCIAL
Current firm class: independent wealth managerderived
Book size: not publicno per-advisor AUM is published by the SEC, FINRA or IAPD, and DFX estimates none
Industry start: Nov 7, 1994earliest registration or exam on IAPD
Years in industry: 31derivedfrom the industry start date
Years at current firm: 7derivedfrom the current registration's begin date
Prior firms: 6
Current registrations: 1
Registered states: 1
Designations: Certified Financial Planner
Exams: S63|S65
First exam: Nov 7, 1994
First registration: Jul 27, 2001
Dual registered: no
Other names: GREG CARROLL
IAPD individual key: 2542500

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
WWM FINANCIAL	Independent wealth	May 7, 2019	n/a	yes	Carlsbad, CA	Current employment
STERLING GLOBAL STRATEGIES, LLC	Former SEC adviser	Jan 2, 2015	Jul 2, 2019	no	CARLSBAD, CA	Previous registration
STERLING GLOBAL STRATEGIES LLC	Former SEC adviser	Jan 10, 2011	Dec 31, 2014	no	CARLSBAD, CA	Previous registration
TORREY PINES SECURITIES, INC.	n/a	Nov 10, 2010	Jan 27, 2011	no	SAN DIEGO, CA\|CARLSBAD, CA	Previous registration
STERLING GLOBAL STRATEGIES LLC	Former SEC adviser	Nov 9, 2010	Dec 31, 2010	no	CARLSBAD, CA	Previous registration
NRP ADVISORS, INC.	n/a	Oct 28, 2008	Nov 9, 2010	no	CARLSBAD, CA	Previous registration
UBS FINANCIAL SERVICES INC.	Wirehouse	Jul 27, 2001	Oct 31, 2008	no	CARLSBAD, CA\|CARLSBAD, CA	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
STERLING GLOBAL STRATEGIES, LLC	WWM FINANCIAL	Jul 2, 2019	May 7, 2019	-56	Firm change after gap	RIA to RIA
STERLING GLOBAL STRATEGIES LLC	STERLING GLOBAL STRATEGIES, LLC	Dec 31, 2014	Jan 2, 2015	2	Channel change	Other
TORREY PINES SECURITIES, INC.	STERLING GLOBAL STRATEGIES LLC	Jan 27, 2011	Jan 10, 2011	-17	Firm change	Other
STERLING GLOBAL STRATEGIES LLC	TORREY PINES SECURITIES, INC.	Dec 31, 2010	Nov 10, 2010	-51	Firm change after gap	Other
NRP ADVISORS, INC.	STERLING GLOBAL STRATEGIES LLC	Nov 9, 2010	Nov 9, 2010	0	Firm change	Other
UBS FINANCIAL SERVICES INC.	NRP ADVISORS, INC.	Oct 31, 2008	Oct 28, 2008	-3	Firm change	Other

Relationships

Registered with (6)

→ WWM FINANCIALRegistered adviserregistration: current employment
May 7, 2019 to presentfactForm ADV
→ STERLING GLOBAL STRATEGIES, LLCRegistered adviserregistration: previous registration
Jan 2, 2015 to Jul 2, 2019factForm ADV
→ STERLING GLOBAL STRATEGIES LLCRegistered adviserregistration: previous registration
Jan 10, 2011 to Dec 31, 2014factForm ADV
→ TORREY PINES SECURITIES, INC.Registered adviserregistration: previous registration
Nov 10, 2010 to Jan 27, 2011factForm ADV
→ NRP ADVISORS, INC.Registered adviserregistration: previous registration
Oct 28, 2008 to Nov 9, 2010factForm ADV
→ UBS FINANCIAL SERVICES INC.Registered adviserregistration: previous registration
Jul 27, 2001 to Oct 31, 2008factForm ADV

Dated events

No dated event names this entity yet.