Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you Carl? Claim Your ProfileCarl Henry Davis is a financial advisor with over 40 years of experience in the industry. Carl has worked with Ameriprise Financial Services, LLC since March 2020, and previously held positions at Morgan Stanley Smith Barney, Citigroup Global Markets Inc., Wachovia Securities, LLC, Prudential Securities Incorporated, Dean Witter Reynolds Inc., Shearson Lehman Hutton Inc., and E. F. Hutton & Company Inc. Carl holds a Series 63 license and a Series 65 license and has earned several other licenses including Series 7, Series 4, Series 5, Series 12, Series 24, and Series 53. Carl provides a variety of financial services to individuals, businesses, and institutions including financial planning, asset allocation, portfolio management, pension consulting, and educational seminars.
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.
Asset allocation 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.
A percentage of the total value of assets under management is charged.
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CA
07/21/2014 - Present
Ameriprise Financial Services, LLC (EL SEGUNDO CA)
CA
06/01/2009 - 05/03/2011
MORGAN STANLEY SMITH BARNEY (EL SEGUNDO CA)
CA
04/22/2005 - 06/01/2009
CITIGROUP GLOBAL MARKETS INC. (ROLLING HILLS CA)
MO
07/01/2003 - 04/22/2005
WACHOVIA SECURITIES, LLC (ST. LOUIS MO)
NY
02/25/1993 - 07/01/2003
PRUDENTIAL SECURITIES INCORPORATED (NEW YORK NY)
NY
06/29/1989 - 02/23/1993
DEAN WITTER REYNOLDS INC. (PURCHASE NY)
NY
04/11/1988 - 07/10/1989
SHEARSON LEHMAN HUTTON INC. (NEW YORK NY)
NA
12/01/1976 - 04/11/1988
E. F. HUTTON & COMPANY INC
IA
Issued 12/09/1993
Series 65 - Uniform Investment Adviser Law Examination
BC
Issued 10/03/1980
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 11/01/1988
Series 53 - Municipal Securities Principal Examination
BC
Issued 06/21/1988
Series 24 - General Securities Principal Examination
BC
Issued 05/22/1985
Series 4 - Registered Options Principal Examination
BC
Issued 04/19/1983
Series 12 - NYSE Branch Manager Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 02/09/1982
Series 5 - Interest Rate Options Examination
BC
Issued 11/20/1976
Series 7 - General Securities Representative Examination
Active
Inactive
F
FINRA
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