James R. Carroll V

Managing Principal

“Clients deserve an unemotional advisor that has their best interest in mind.”

- James R. Carroll V

Philosophy

I am dedicated to helping clients meet their investment needs and achieve their life goals by developing wealth management plans around their long-term goals.

You can trust that we will consistently and responsibly perform all requested services and that we will be available when you need us. You will always be treated with respect, honesty and dignity.

Working together is essential to effective investment planning. To this end, we both need to make your investment strategies a priority. We will agree to keep each other informed of any new developments that might affect these strategies. We will agree to take the time to review your Financial Strategy Action Plan. We will both be honest and forthcoming about your financial situation. We will work to develop mutual trust, respect and understanding.

Professional

For 25 years, James has helped clients address their financial concerns and develop strategies by focusing on each family’s specific needs. With extensive experience throughout major shifts in the markets, James has dedicated his career to delivering the personalized investment planning services his clients deserve.

After receiving a Bachelor’s degree in Business Management from UNC Wilmington, James worked for eight years in retail as a District Manager for a chain of men’s clothing stores, traveling Texas, Louisiana, Mississippi, Alabama and North Carolina. He began his financial services career in 1998 in Raleigh as a Financial Advisor with A.G. Edwards and Sons, which later became Wells Fargo Advisors.

Through his relationship with mentors and co-workers over his career, James has developed a steady hand. He is known for keeping emotion out of his decision-making and recommendations for clients, while making sure the focus stays on their goals.

Personal

James enjoys staying fit, boating and spending time in Southport, NC. James and his wife, Betsy are members of North Raleigh United Methodist Church, having previously served on the church’s, Board of Trustees and Finance Committee. He has also served on the boards of the UNCW Alumni Association and the Capital City Club. James is the past President of the board of Transitions LifeCare and past Chairman of the Board of Trustees for the Hospice of Wake County Foundation. James and Betsy reside in Raleigh and have two grown sons, Robinson and Ward.

Investment and Insurance Products are:

Not Insured by the FDIC or Any Federal Government Agency
Not a Deposit or Other Obligation of, or Guaranteed by, the Bank or Any Bank Affiliate
Subject to Investment Risks, Including Possible Loss of the Principal Amount Invested

This information is intended for use only by residents of (AL, AR, AZ, CA, CO, CT, DC, DE, FL, GA, HI, ID, IL, IN, KY, LA, MA, MD, ME, MI, MN, MO, MT, NC, NH, NJ, NM, NV, NY, OH, OK, OR, PA, PR, SC, SD, TN, TX, UT, VA, WA, WI, WY). Securities-related services may not be provided to individuals residing in any state not listed above. Please consult with the FA as s/he may not be registered in all states.

For parties residing outside of the U.S., this information is: (i) provided for informational purposes only, (ii) not and should not be construed in any manner as an offer to participate in any investment or to buy or sell any securities or related financial instruments, and (iii) not and should not be construed in any manner as a public offering of any financial services, securities or related financial instruments. Products and services listed may not be available, or may have restrictions, depending on client country of residence.

Investment products and services are offered through Wells Fargo Advisors Financial Network, LLC (WFAFN). Wells Fargo Advisors is the trade name used by Wells Fargo Clearing Services, LLC and WFAFN, Members SIPC, separate registered broker-dealers and non-bank affiliates of Wells Fargo & Company. Any other referenced entity is a separate entity from WFAFN.

Insurance products are offered through nonbank insurance agency affiliates of Wells Fargo & Company and are underwritten by unaffiliated insurance companies.

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