Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you Carol? Claim Your ProfileCarol Hines has been in the financial services industry since 1991. Carol is currently registered with Osaic FA, Inc. in Irvine, California and specializes in providing portfolio management for individuals and businesses, as well as offering financial planning and educational seminars. Carol has previously worked with Securities America, Inc., Raymond James & Associates, Inc., Sterne, Agee & Leach, Inc., Nollenberger Capital Partners Inc., Wells Fargo Investments, LLC, Wells Fargo Van Kasper, LLC, Cruttenden Roth Incorporated, H. Beck, Inc. and Dean Witter Reynolds Inc.
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.
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.
Retirement plan consulting services provided on a limited basis.
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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CA
11/07/2018 - Present
Osaic FA, Inc. (IRVINE CA)
CA
01/05/2017 - 06/08/2017
SECURITIES AMERICA, INC. (IRVINE CA)
CA
05/27/2014 - 04/29/2016
RAYMOND JAMES & ASSOCIATES, INC. (SAN FRANCISCO CA)
CA
02/11/2011 - 05/30/2014
STERNE, AGEE & LEACH, INC. (SAN FRANCISCO CA)
CA
02/13/2003 - 02/14/2011
NOLLENBERGER CAPITAL PARTNERS INC. (SAN FRANCISCO CA)
CA
06/11/2001 - 02/24/2003
WELLS FARGO INVESTMENTS, LLC (SAN FRANCISCO CA)
CA
07/24/1997 - 07/11/2001
WELLS FARGO VAN KASPER, LLC (SAN FRANCISCO CA)
CA
04/05/1995 - 08/12/1997
CRUTTENDEN ROTH INCORPORATED (NEWPORT BEACH CA)
MD
03/08/1994 - 02/23/1995
H. BECK, INC. (ROCKVILLE MD)
NY
09/04/1991 - 09/17/1993
DEAN WITTER REYNOLDS INC. (PURCHASE NY)
CA
10/20/1988 - 09/17/1991
HAGERTY, STEWART & ASSOCIATES, INC. (SAN DIEGO CA)
BC
Issued 10/31/2001
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 03/10/1989
Series 24 - General Securities Principal Examination
BC
Issued 06/08/2017
SIE - Securities Industry Essentials Examination
BC
Issued 10/15/1988
Series 7 - General Securities Representative Examination
Active
Inactive
F
FINRA
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