Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you Anna? Claim Your ProfileAnna Carroll is a financial advisor at TD Private Client Wealth LLC. Anna has been working in the financial services industry since 2002. Anna has a wide range of experience, having previously worked at Santander Securities LLC, J.P. Morgan Securities LLC, Chase Investment Services Corp., and Banc One Securities Corporation. Anna holds a Series 6, 7, 9, 10, 24, 52TO, 53, 66, 82TO, and SIE licenses. Anna specializes in financial planning, portfolio management, and pension consulting. Anna is committed to providing her clients with personalized financial advice and helping them achieve their financial goals.
Advisors offer a broad range of advisory services designed to meet the unique needs of individuals, businesses, and investment companies. These services provide professional guidance and personalized strategies to help clients achieve their financial goals.
Comprehensive financial plans to help you achieve your personal and business goals.
Guidance on pension options to ensure a secure financial future.
Seminars designed to boost your financial literacy and investment knowledge.
Helps you choose top advisors aligned with your financial goals.
Custom portfolio management strategies for businesses to achieve long-term growth.
Personalized portfolio management to meet individual financial objectives.
Advisors may be compensated through a variety of fee structures, offering flexibility and transparency. This allows clients to choose the arrangement that best aligns with their financial objectives.
A percentage of the total value of assets under management is charged.
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2
ME
01/08/2024 - Present
TD Private Client Wealth LLC (PORTLAND ME)
MA
12/14/2016 - 12/05/2023
SANTANDER SECURITIES LLC (Dorchester MA)
OH
10/01/2012 - 11/28/2016
J.P. MORGAN SECURITIES LLC (WESTERVILLE OH)
OH
07/06/2005 - 10/01/2012
CHASE INVESTMENT SERVICES CORP. (COLUMBUS OH)
IL
02/06/2002 - 07/06/2005
BANC ONE SECURITIES CORPORATION (CHICAGO IL)
BOTH
Issued 10/27/2006
Series 66 - Uniform Combined State Law Examination
BC
Issued 01/02/2023
Series 9 - General Securities Sales Supervisor - Options Module Examination
BC
Issued 01/02/2023
Series 10 - General Securities Sales Supervisor - General Module Examination
BC
Issued 05/25/2012
Series 4 - Registered Options Principal Examination
BC
Issued 01/19/2010
Series 53 - Municipal Securities Principal Examination
BC
Issued 07/01/2009
Series 24 - General Securities Principal Examination
BC
Issued 01/02/2023
Series 52TO - Municipal Securities Representative Examination
BC
Issued 01/02/2023
Series 82TO - Limited Representative-Private Securities Offerings
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 03/15/2006
Series 7 - General Securities Representative Examination
BC
Issued 02/05/2002
Series 6 - Investment Company Products/Variable Contracts Representative Examination
Active
Inactive
F
FINRA
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