Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you Carol? Claim Your ProfileCarol D. Henry is a financial advisor at UBS Financial Services Inc. with over 30 years of experience in the financial services industry. Carol has been registered with FINRA since 1996 and has a broad range of experience in providing financial advice to individuals, businesses, and institutions. Carol is also a Registered Investment Advisor (RIA) and is licensed to sell securities in multiple states. Carol is committed to providing her clients with personalized financial advice and strategies that are tailored to their specific needs and 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.
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
MN
02/04/2014 - Present
UBS Financial Services Inc. (WAYZATA MN)
MN
07/23/1996 - 08/12/2006
PIPER JAFFRAY & CO. (MINNEAPOLIS MN)
NY
04/02/1993 - 09/03/1993
PRUDENTIAL SECURITIES INCORPORATED (NEW YORK NY)
MN
02/05/1990 - 04/13/1993
PIPER JAFFRAY INC. (MINNEAPOLIS MN)
BC
Issued 05/14/1998
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 07/23/2001
Series 10 - General Securities Sales Supervisor - General Module Examination
BC
Issued 07/23/2001
Series 9 - General Securities Sales Supervisor - Options Module Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 07/22/1996
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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