Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you Carol? Claim Your ProfileCarol Ball is a financial advisor who has been in the industry since 1997. Carol is currently registered with Stifel, Nicolaus & Company, Inc. and holds both series 66 and Series 7 licenses. Carol has previously worked at BARCLAYS CAPITAL INC. and LEHMAN BROTHERS INC. and has held multiple principal licenses throughout her career. Carol is registered in 30 states for broker-dealer activity and in 2 states for investment advisor activity.
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.
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
MA
12/04/2015 - Present
Stifel, Nicolaus & Company, Inc. (BOSTON MA)
MA
09/22/2008 - 12/04/2015
BARCLAYS CAPITAL INC. (BOSTON MA)
MA
06/05/2000 - 09/22/2008
LEHMAN BROTHERS INC. (BOSTON MA)
NA
05/19/1987 - 08/01/1988
CLAYTON, POLLEYS & CO., INC.
NA
08/08/1984 - 06/30/1986
TRUSTEED FUNDS, INC
BOTH
Issued 03/17/2008
Series 66 - Uniform Combined State Law Examination
BC
Issued 07/27/2001
Series 10 - General Securities Sales Supervisor - General Module Examination
BC
Issued 07/26/2001
Series 9 - General Securities Sales Supervisor - Options Module Examination
BC
Issued 03/16/1985
Series 27 - Financial and Operations Principal Examination
BC
Issued 11/05/1984
Series 24 - General Securities Principal Examination
BC
Issued 01/02/2023
Series 99TO - Operations Professional Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 10/20/2009
Series 3 - National Commodity Futures Examination
BC
Issued 07/21/1984
Series 7 - General Securities Representative Examination
Active
Inactive
C
Cboe BZX Exchange, Inc.
C
Cboe EDGA Exchange, Inc.
C
Cboe EDGX Exchange, Inc.
F
FINRA
N
NYSE American LLC
N
NYSE Chicago, Inc.
N
Nasdaq ISE, LLC
N
Nasdaq PHLX LLC
N
Nasdaq Stock Market
N
New York Stock Exchange
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