Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you Carl? Claim Your ProfileCarl Eric Stopp is a financial advisor with over 20 years of experience in the financial services industry. Carl is currently registered with LPL Financial LLC in DES PERES, MO. Previously, Carl was with AVANTAX INVESTMENT SERVICES, INC. and 1ST GLOBAL CAPITAL CORP. Carl holds FINRA Series 6, 7, 63, and 66 licenses as well as the SIE exam. Carl is also licensed to conduct business in Missouri.
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.
Consulting and other non-discretionary advisory services
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.
Set rates for specific services, regardless of time or assets managed.
Earned based on transactions or products sold.
A percentage of the total value of assets under management is charged.
1
2
MO
11/14/2019 - Present
LPL Financial LLC (DES PERES MO)
MO
10/25/2019 - 11/18/2019
AVANTAX INVESTMENT SERVICES, INC. (Creve Coeur MO)
MO
02/27/2015 - 10/25/2019
1ST GLOBAL CAPITAL CORP. (Creve Coeur MO)
MO
07/04/2003 - 02/19/2004
N.I.S. FINANCIAL SERVICES, INC. (KANSAS CITY MO)
BOTH
Issued 04/08/2015
Series 66 - Uniform Combined State Law Examination
BC
Issued 08/19/2003
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 01/02/2023
Series 6TO - Investment Company Products/Variable Contracts Representative Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 02/27/2015
Series 7 - General Securities Representative Examination
BC
Issued 07/02/2003
Series 6 - Investment Company Products/Variable Contracts Representative Examination
Active
Inactive
F
FINRA
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