Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you Carol? Claim Your ProfileCarol Whitley is a financial advisor with Wells Fargo Clearing Services, LLC. Carol has been in the industry since 2008 and has a wide range of experience in providing financial advice and investment management services. Carol is registered with the state of Texas as a Registered Representative and Investment Adviser Representative. Carol has her Series 6, 7, 63 and 65 securities licenses and is also a Certified Financial Planner.
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.
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.
Investment consulting services to institutional clients
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.
1
2
TX
11/16/2012 - Present
Wells Fargo Clearing Services, LLC (HOUSTON TX)
TX
07/15/2011 - 08/09/2012
WFG INVESTMENTS, INC. (KINGWOOD TX)
TX
08/14/2007 - 06/01/2011
CHASE INVESTMENT SERVICES CORP. (HUMBLE TX)
IA
Issued 09/21/2010
Series 65 - Uniform Investment Adviser Law Examination
BC
Issued 08/21/2007
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 03/04/2010
Series 7 - General Securities Representative Examination
BC
Issued 08/13/2007
Series 6 - Investment Company Products/Variable Contracts Representative Examination
Active
Inactive
C
Cboe Exchange, Inc.
F
FINRA
N
NYSE American LLC
N
Nasdaq PHLX LLC
N
Nasdaq Stock Market
N
New York Stock Exchange
Not sure Carol Whitley is the right advisor for you? Invested Better is here to help.
