Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you Carla? Claim Your ProfileCarla Novak is a registered representative with RBC Capital Markets, LLC with over 16 years of experience in the financial services industry. Carla is a Series 66, Series 24, Series 10, Series 9, Series 3, and Series 7 licensed professional. Carla works with individuals, high-net-worth individuals, corporations, businesses, charitable organizations, pension and profit-sharing plans, state or municipal government entities, and pooled investment vehicles. In addition to working for RBC Capital Markets, LLC, Carla previously worked for UBS Financial Services Inc. and Wachovia Securities, LLC. Carla is active in the financial services industry and is registered in all 50 states plus the District of Columbia and Puerto Rico.
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.
Service public & private employee benefit plans, endowment funds, foundations, family trusts & various capital/operating funds
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.
1
2
WA
11/20/2023 - Present
RBC Capital Markets, LLC (Tacoma WA)
WA
02/05/2008 - 11/28/2023
UBS FINANCIAL SERVICES INC. (SEATTLE WA)
NJ
07/31/2007 - 01/22/2008
WACHOVIA SECURITIES, LLC (MOUNTAINSIDE NJ)
BOTH
Issued 09/08/2007
Series 66 - Uniform Combined State Law Examination
BC
Issued 09/10/2011
Series 24 - General Securities Principal Examination
BC
Issued 09/08/2008
Series 10 - General Securities Sales Supervisor - General Module Examination
BC
Issued 08/21/2008
Series 9 - General Securities Sales Supervisor - Options Module Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 01/24/2011
Series 3 - National Commodity Futures Examination
BC
Issued 07/30/2007
Series 7 - General Securities Representative Examination
Active
Inactive
B
BOX Exchange LLC
C
Cboe BYX Exchange, Inc.
C
Cboe BZX Exchange, Inc.
C
Cboe C2 Exchange, Inc.
C
Cboe EDGA Exchange, Inc.
C
Cboe EDGX Exchange, Inc.
C
Cboe Exchange, Inc.
F
FINRA
I
Investors' Exchange LLC
L
Long-Term Stock Exchange, Inc.
M
MEMX LLC
M
MIAX PEARL, LLC
N
NYSE American LLC
N
NYSE Arca, Inc.
N
NYSE Chicago, Inc.
N
NYSE National, Inc.
N
Nasdaq BX, Inc.
N
Nasdaq GEMX, LLC
N
Nasdaq ISE, LLC
N
Nasdaq PHLX LLC
N
Nasdaq Stock Market
N
New York Stock Exchange
Not sure Carla Novak is the right advisor for you? Invested Better is here to help.
