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Carol A Hartis

Edward Jones

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About Carol A Hartis

Carol Hartis is a financial advisor with Edward Jones. Carol has been in the financial industry since 1998. Carol has a Series 7 and a Series 66 license and is registered with FINRA. Carol is also registered with the state of South Carolina and Texas. Carol has experience working with individuals, businesses, and retirement plans. Carol is committed to helping clients reach their financial goals.

Firm Information

Carol Hartis is currently registered with Edward Jones. Edward Jones is a financial services firm headquartered in St. Louis, Missouri, that offers investment management and financial planning services to individuals, families, and businesses. Founded in 1941, the firm has a nationwide network of over 19,832 licensed agents and 22,210 registered representatives. Edward Jones manages approximately $10 billion to $50 billion in assets for a variety of clients, including high-net-worth individuals, corporations, and pension plans. The firm provides a range of advisory services, including portfolio management for individuals and businesses, pension consulting, and financial planning. Edward Jones is registered with the Securities and Exchange Commission and holds licenses in all 50 states, the District of Columbia, and Puerto Rico.
Edward Jones

12555 MANCHESTER RD

ST. LOUIS, MO 63131

$824.99B

Assets Under Management

27,895

Total Clients

22,064

Total Financial Advisors

Services Offered

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.

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financial planning services

Comprehensive financial plans to help you achieve your personal and business goals.

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pension consulting services

Guidance on pension options to ensure a secure financial future.

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selection of other advisors

Helps you choose top advisors aligned with your financial goals.

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portfolio management for businesses

Custom portfolio management strategies for businesses to achieve long-term growth.

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portfolio management for individuals

Personalized portfolio management to meet individual financial objectives.

Fee Structure

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.

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fixed fees

Set rates for specific services, regardless of time or assets managed.

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percentage of assets

A percentage of the total value of assets under management is charged.

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other

See schedule d - miscellaneous

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Carol Hartis’s Registration & Firm History

SC

10/22/2018 - Present

Edward Jones (INMAN SC)

SC

06/01/2009 - 08/17/2011

MORGAN STANLEY SMITH BARNEY (SPARTANBURG SC)

SC

11/13/2008 - 06/01/2009

MORGAN STANLEY & CO. INCORPORATED (SPARTANBURG SC)

SC

07/28/1998 - 11/15/2008

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED (SPARTANBURG SC)

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Licenses & Designations

BOTH

Issued 09/14/1998

Series 66 - Uniform Combined State Law Examination

BC

Issued 10/01/2018

SIE - Securities Industry Essentials Examination

BC

Issued 07/27/1998

Series 7 - General Securities Representative Examination

State Registrations

Active

Inactive

SRO Registrations

F

FINRA

N

NYSE American LLC

N

Nasdaq Stock Market

N

New York Stock Exchange

Disclosures

There are no public disclosures for Carol A Hartis.
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