Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you Carol? Claim Your ProfileCarol McBride is a registered investment advisor with Merrill Lynch, Pierce, Fenner & Smith Inc., having joined the firm in August 1985. Carol has a broad range of experience in the financial services industry, having previously worked at both Wall Street Capital Corporation and WZW Financial Services, Inc. Carol offers a variety of services to clients, including portfolio management, investment advice, and financial planning. Carol has a strong track record of success in the financial services industry. Carol holds the Series 7, 9, 10, 24, 52TO, 53, and 66 licenses, as well as the SIE exam.
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
MO
01/05/2009 - Present
Merrill Lynch, Pierce, Fenner & Smith Inc. (FRONTENAC MO)
NA
09/27/1983 - 07/22/1985
WALL STREET CAPITAL CORPORATION
NA
05/25/1983 - 09/09/1983
WZW FINANCIAL SERVICES, INC.
BOTH
Issued 12/29/2008
Series 66 - Uniform Combined State Law Examination
BC
Issued 06/13/1983
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 09/25/2009
Series 10 - General Securities Sales Supervisor - General Module Examination
BC
Issued 03/24/2009
Series 9 - General Securities Sales Supervisor - Options Module Examination
BC
Issued 06/15/1984
Series 53 - Municipal Securities Principal Examination
BC
Issued 05/22/1984
Series 24 - General Securities Principal Examination
BC
Issued 01/02/2023
Series 52TO - Municipal Securities Representative Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 05/21/1983
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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