Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you Carol ann? Claim Your ProfileCarol Ann Wake is a financial advisor with UBS Financial Services Inc. Carol Ann has been in the industry since 1996 and has a strong track record of success. Carol Ann Wake has worked at several leading financial institutions including Ameriprise Financial Services, Inc., Wells Fargo Advisors, LLC, and LaSalle St Securities, L.L.C. Carol Ann is a registered representative of UBS Financial Services Inc. and offers a wide range of financial services to individuals, families, and businesses. These services include portfolio management, financial planning, and retirement planning.
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.
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.
See schedule d - miscellaneous
1
2
MI
12/21/2018 - Present
UBS Financial Services Inc. (TROY MI)
FL
06/07/2016 - 11/02/2018
AMERIPRISE FINANCIAL SERVICES, INC. (CLEARWATER FL)
FL
01/04/2016 - 05/25/2016
WELLS FARGO ADVISORS, LLC (CLEARWATER FL)
FL
11/21/2012 - 01/08/2016
AMERIPRISE FINANCIAL SERVICES, INC. (TAMPA FL)
MI
07/08/2005 - 07/27/2011
TELEMUS INVESTMENT BROKERS, LLC (SOUTHFIELD MI)
IL
02/11/2005 - 07/27/2005
LASALLE ST SECURITIES, L.L.C. (ELMHURST IL)
NJ
10/13/1999 - 02/23/2005
UBS FINANCIAL SERVICES INC. (WEEHAWKEN NJ)
NY
06/20/1995 - 10/29/1999
DEAN WITTER REYNOLDS INC. (PURCHASE NY)
IA
Issued 10/23/2013
Series 65 - Uniform Investment Adviser Law Examination
BC
Issued 06/29/1995
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 11/29/2005
Series 9 - General Securities Sales Supervisor - Options Module Examination
BC
Issued 09/09/2005
Series 10 - General Securities Sales Supervisor - General Module Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 06/19/1995
Series 7 - General Securities Representative Examination
Active
Inactive
B
BOX Exchange LLC
C
Cboe Exchange, Inc.
F
FINRA
N
NYSE American LLC
N
NYSE Arca, Inc.
N
NYSE Chicago, Inc.
N
Nasdaq ISE, LLC
N
Nasdaq PHLX LLC
N
Nasdaq Stock Market
N
New York Stock Exchange
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