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 Rice has been in the financial industry since 1995 and is currently registered with PFS Investments Inc. in San Jose, CA. Carol has a diverse background with experience in both the brokerage and investment advisory fields. Carol specializes in providing financial planning and portfolio management services to individuals. She has a deep understanding of the financial markets and is committed to helping clients achieve their financial goals.
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.
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.
A percentage of the total value of assets under management is charged.
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CA
12/01/2011 - Present
PFS Investments Inc. (SAN JOSE CA)
GA
06/16/1995 - 07/20/2000
PFS INVESTMENTS INC. (DULUTH GA)
IA
Issued 11/14/2011
Series 65 - Uniform Investment Adviser Law Examination
BC
Issued 03/10/1995
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 03/10/1995
Series 6 - Investment Company Products/Variable Contracts Representative Examination
Active
Inactive
F
FINRA
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