Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you Carol? Claim Your ProfileCarol Oneal is a registered representative of LPL Financial LLC, based in Frisco, NC. Carol has been in the financial services industry since 2006 and has been with LPL Financial LLC since March 2020. Carol holds Series 6, 7, 63, and 65 licenses, as well as the SIE exam. Carol provides a range of financial services, including financial planning, portfolio management, and investment advisory services.
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.
Consulting and other non-discretionary advisory 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.
Earned based on transactions or products sold.
A percentage of the total value of assets under management is charged.
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2
NC
03/31/2020 - Present
LPL Financial LLC (FRISCO NC)
NC
09/14/2006 - 03/31/2020
AVANTAX INVESTMENT SERVICES, INC. (FRISCO NC)
IA
Issued 07/20/2016
Series 65 - Uniform Investment Adviser Law Examination
BC
Issued 10/17/2006
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 07/12/2017
Series 7 - General Securities Representative Examination
BC
Issued 09/13/2006
Series 6 - Investment Company Products/Variable Contracts Representative Examination
Active
Inactive
F
FINRA
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