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This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you Carol? Claim Your ProfileCarol Ellen Thomas is a financial advisor with over 30 years of experience in the financial services industry. Carol has been a registered representative with Merrill Lynch, Pierce, Fenner & Smith Inc. since 2005. Prior to joining Merrill Lynch, Carol worked at Citigroup Global Markets Inc. and Prudential Securities Incorporated. Carol specializes in providing investment advice to individuals, businesses, corporations, and retirement plans. Carol holds FINRA Series 7, Series 63, and Series 65 licenses and is licensed to provide investment advice in multiple states. Carol is also a FINRA Arbitrator.
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.
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.
Performance measurement reports, allocation modeling, ips, research reports and services, see schedule d
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
FL
12/05/2007 - Present
Merrill Lynch, Pierce, Fenner & Smith Inc. (LAKE MARY FL)
NY
10/25/1994 - 12/05/2005
CITIGROUP GLOBAL MARKETS INC. (NEW YORK NY)
NY
05/28/1992 - 11/08/1994
PRUDENTIAL SECURITIES INCORPORATED (NEW YORK NY)
IA
Issued 03/26/1993
Series 65 - Uniform Investment Adviser Law Examination
BC
Issued 12/04/1992
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 05/26/1992
Series 7 - General Securities Representative Examination
Active
Inactive
C
Cboe BYX Exchange, Inc.
C
Cboe BZX Exchange, Inc.
C
Cboe Exchange, Inc.
F
FINRA
I
Investors' Exchange LLC
N
Nasdaq Stock Market
N
New York Stock Exchange
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