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 Schram is a registered investment advisor representative with Mutual of Omaha Investor Services, Inc. Carol has been in the industry since 2003 and has been with the firm since August 2013. Carol has a variety of licenses and certifications, including Series 7, 24, 4, 51, 53, 63, and 66. Carol has a strong track record of success in providing financial advice to individuals and families. Carol's primary focus is on helping clients achieve their financial goals through comprehensive financial planning and investment management.
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.
Helps you choose top advisors aligned with your 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.
Set rates for specific services, regardless of time or assets managed.
A percentage of the total value of assets under management is charged.
Promoter fees and third party money manager fees
1
2
NE
01/11/2008 - Present
Mutual OF Omaha Investor Services, Inc. (OMAHA NE)
BOTH
Issued 12/01/2007
Series 66 - Uniform Combined State Law Examination
BC
Issued 05/05/2003
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 09/20/2013
Series 53 - Municipal Securities Principal Examination
BC
Issued 01/27/2010
Series 4 - Registered Options Principal Examination
BC
Issued 11/12/2005
Series 51 - Municipal Fund Securities Principal Examination
BC
Issued 03/29/2004
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 01/23/2003
Series 7 - General Securities Representative Examination
Active
Inactive
F
FINRA
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