Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you Carl? Claim Your ProfileCarl Hathaway Viard is a registered investment advisor representative in the state of Illinois. Carl is associated with Morgan Stanley, where Carl has been employed since June 2009. Carl has worked in the financial services industry since November 1984. Prior to Morgan Stanley, Carl was employed by CITIGROUP GLOBAL MARKETS INC., EQ FINANCIAL CONSULTANTS, INC., THE EQUITABLE LIFE ASSURANCE SOCIETY OF THE UNITED STATES, CHUBB SECURITIES CORPORATION and FIRST INVESTORS CORPORATION. Carl has a wide range of experience in the financial services industry, including financial planning, pension consulting, educational seminars, asset allocation advice, selection of other advisers, portfolio management for businesses, portfolio management for individuals, and portfolio management for investment companies.
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.
Strategic management for diversified investment portfolios.
Asset allocation advice
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.
Fees calculated based on the performance of your investments relative to a benchmark.
See schedule d miscellaneous
1
2
IL
09/12/2016 - Present
Morgan Stanley (Barrington IL)
IL
04/25/1997 - 06/01/2009
CITIGROUP GLOBAL MARKETS INC. (BARRINGTON IL)
NA
04/24/1989 - 04/01/1997
EQ FINANCIAL CONSULTANTS, INC.
NY
05/31/1986 - 04/01/1997
EQ FINANCIAL CONSULTANTS, INC. (NEW YORK NY)
NY
05/31/1986 - 04/01/1997
THE EQUITABLE LIFE ASSURANCE SOCIETY OF THE UNITED STATES (NEW YORK NY)
NA
04/24/1989 - 02/16/1995
THE EQUITABLE LIFE ASSURANCE SOCIETY OF THE UNITED STATES
NA
08/23/1984 - 12/17/1985
CHUBB SECURITIES CORPORATION
NA
04/24/1984 - 08/03/1984
FIRST INVESTORS CORPORATION
IA
Issued 05/01/1997
Series 65 - Uniform Investment Adviser Law Examination
BC
Issued 04/24/1984
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 03/17/1994
Series 26 - Investment Company Products/Variable Contracts Principal Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 11/17/1984
Series 7 - General Securities Representative Examination
BC
Issued 04/20/1984
Series 6 - Investment Company Products/Variable Contracts Representative Examination
Active
Inactive
F
FINRA
N
NYSE American LLC
N
Nasdaq Stock Market
N
New York Stock Exchange
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