Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you Carol? Claim Your ProfileCarol Anderson is a financial advisor with Merrill Lynch, Pierce, Fenner & Smith Inc., located in Dallas, Texas. Carol is a registered representative with the firm, having been with Merrill Lynch since January 1994. Carol holds multiple licenses and certifications, including the Series 7, Series 63, and Series 65. Prior to her current role, Carol held positions with Merrill Lynch in New York and Prudential-Bache Securities Inc. Carol specializes in providing financial advice and investment management services to individuals, corporations, charitable organizations, pension and profit-sharing plans, and insurance companies.
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.
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.
Performance measurement reports, allocation modeling, ips, research reports and services, see schedule d
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.
1
2
TX
03/28/1994 - Present
Merrill Lynch, Pierce, Fenner & Smith Inc. (DALLAS TX)
NY
03/18/1992 - 05/06/1993
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED (NEW YORK NY)
NA
01/01/1988 - 06/28/1990
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
NY
01/26/1984 - 06/28/1990
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED (NEW YORK NY)
NA
10/28/1986 - 12/21/1987
PRUDENTIAL-BACHE SECURITIES INC.
IA
Issued 08/23/1994
Series 65 - Uniform Investment Adviser Law Examination
BC
Issued 02/10/1984
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 01/21/1984
Series 7 - General Securities Representative Examination
Active
Inactive
C
Cboe BYX Exchange, Inc.
C
Cboe BZX Exchange, Inc.
C
Cboe Exchange, Inc.
F
FINRA
I
Investors' Exchange LLC
N
Nasdaq Stock Market
N
New York Stock Exchange
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