Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you Carol? Claim Your ProfileCarol Davies is a financial advisor who has been in the industry since 2005. Carol is currently registered with Ameriprise Financial Services, LLC in Georgetown, Texas. Carol has previously worked for BBVA Securities Inc., BBVA Compass Investment Solutions, Inc, Raymond James & Associates, Inc., and Wachovia Securities, LLC. Carol holds Series 7, Series 63, Series 65 and SIE licenses. Carol specializes in asset allocation services, financial planning, pension consulting, educational seminars, and publication of periodicals. Carol is also a registered investment advisor representative.
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.
Asset allocation 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.
A percentage of the total value of assets under management is charged.
1
2
TX
08/12/2021 - Present
Ameriprise Financial Services, LLC (Georgetown TX)
TX
05/16/2013 - 07/14/2021
BBVA SECURITIES INC. (AUSTIN TX)
TX
07/29/2008 - 05/16/2013
BBVA COMPASS INVESTMENT SOLUTIONS, INC (AUSTIN TX)
TX
02/09/2006 - 07/10/2008
RAYMOND JAMES & ASSOCIATES, INC. (AUSTIN TX)
MO
01/05/2005 - 01/30/2006
WACHOVIA SECURITIES, LLC (ST. LOUIS MO)
IA
Issued 10/24/2006
Series 65 - Uniform Investment Adviser Law Examination
BC
Issued 12/16/2004
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 11/19/2004
Series 7 - General Securities Representative Examination
Active
Inactive
F
FINRA
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