Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you Carol? Claim Your ProfileCarol Anne Novak is a financial advisor with Allworth Financial, LP. Carol has been in the financial industry since 1988 and is registered with the states of Maryland and Texas as well as the FINRA. Carol is also a Certified Financial Planner. In addition to her current employment with Allworth Financial, Carol has previously been registered with CADARET, GRANT & CO., INC., FOCUS SECURITIES, INC., and AW SECURITIES. Carol specializes in providing financial planning, pension consulting, educational seminars, portfolio management for businesses, and portfolio management for individuals. Carol's office is located in Bel Air, Maryland.
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.
A percentage of the total value of assets under management is charged.
1
2
MD
09/01/2021 - Present
Allworth Financial, LP (Bel Air MD)
MD
10/28/1988 - 09/03/2021
CADARET, GRANT & CO., INC. (BEL AIR MD)
NA
01/19/1988 - 11/18/1988
FOCUS SECURITIES, INC.
BC
Issued 04/18/2008
Series 63 - Uniform Securities Agent State Law Examination
IA
Issued 11/07/1996
Series 65 - Uniform Investment Adviser Law Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 01/16/1988
Series 7 - General Securities Representative Examination
Active
Inactive
F
FINRA
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