Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you Carl? Claim Your ProfileCarl Vallely is a registered investment advisor who has been working in the financial services industry since 1998. Carl holds a Series 7, Series 31, and Series 63 licenses, as well as the SIE exam certification. Carl is currently employed by Allstate Financial Services, LLC, in their Horseheads, New York branch office. Carl has previously worked for A. G. Edwards & Sons, Inc. and Dean Witter Reynolds Inc.
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.
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.
1
2
NY
02/28/2002 - Present
Allstate Financial Services, LLC (Horseheads NY)
MO
11/24/1998 - 09/21/2001
A. G. EDWARDS & SONS, INC. (ST. LOUIS MO)
NY
01/05/1998 - 11/09/1998
DEAN WITTER REYNOLDS INC. (PURCHASE NY)
IA
Issued 02/12/1998
Series 65 - Uniform Investment Adviser Law Examination
BC
Issued 02/12/1998
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 02/12/1998
Series 31 - Futures Managed Funds Examination
BC
Issued 01/03/1998
Series 7 - General Securities Representative Examination
Active
Inactive
F
FINRA
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