Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you Carol? Claim Your ProfileCarol Marks is a financial advisor in Santa Barbara, California. Carol has been working in the financial services industry since 2000. Carol has a Series 7, Series 9, Series 10, and Series 66 license. She has been registered with Wells Fargo Clearing Services, LLC since 2017. Carol has previously worked at Morgan Stanley, Oppenheimer & Co. Inc., and Merrill Lynch, Pierce, Fenner & Smith Incorporated. Carol works with a variety of clients, including individuals, families, businesses, and institutions. She provides a range of services, including financial planning, investment management, 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.
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.
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2
CA
08/31/2021 - Present
Wells Fargo Clearing Services, LLC (SANTA BARBARA CA)
CA
08/03/2010 - 12/04/2017
MORGAN STANLEY (SANTA BARBARA CA)
CA
04/15/2008 - 08/02/2010
OPPENHEIMER & CO. INC. (LOS ANGELES CA)
CA
10/15/2003 - 04/15/2008
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED (LOS ANGELES CA)
NY
01/02/2000 - 11/12/2002
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED (NEW YORK NY)
BOTH
Issued 11/06/2006
Series 66 - Uniform Combined State Law Examination
BC
Issued 08/02/2007
Series 10 - General Securities Sales Supervisor - General Module Examination
BC
Issued 09/08/2006
Series 9 - General Securities Sales Supervisor - Options Module Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 12/28/1999
Series 7 - General Securities 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
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