Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you Carol? Claim Your ProfileCarol Ann Goulding is a financial advisor with M&T Securities, Inc. located in Buffalo, NY. Carol has been in the financial services industry since December 2002 and has a diverse range of experience in the financial services industry. Carol is a licensed Series 7, 24, 27, 53, and 66 representative. Carol is also licensed as a Registered Options Principal and has Series 79TO and 99TO licenses. Carol has been registered with the state of New York since 2007.
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.
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.
1
2
NY
12/02/2002 - Present
M&T Securities, Inc. (Buffalo NY)
DE
05/16/2011 - 10/07/2011
WILMINGTON BROKERAGE SERVICES COMPANY (WILMINGTON DE)
BOTH
Issued 10/15/2007
Series 66 - Uniform Combined State Law Examination
BC
Issued 02/13/2009
Series 4 - Registered Options Principal Examination
BC
Issued 05/22/2008
Series 53 - Municipal Securities Principal Examination
BC
Issued 02/21/2008
Series 27 - Financial and Operations Principal Examination
BC
Issued 02/07/2003
Series 24 - General Securities Principal Examination
BC
Issued 01/02/2023
Series 99TO - Operations Professional Examination
BC
Issued 01/02/2023
Series 79TO - Investment Banking Registered Representative Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 11/29/2002
Series 7 - General Securities Representative Examination
Active
Inactive
F
FINRA
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