Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you Carol? Claim Your ProfileCarol Spiegel is a financial advisor with Morgan Stanley. Carol has been in the financial services industry for over 30 years and has a broad range of experience working with individual and institutional clients. Carol holds the Series 7, Series 9, Series 10, Series 63, and Series 66 licenses. Carol is also registered with the following states: Alabama, Arizona, California, Connecticut, Delaware, Florida, Georgia, Hawaii, Idaho, Maryland, Massachusetts, Michigan, Nevada, New Hampshire, New Jersey, New York, North Carolina, Oregon, Tennessee, Texas, Virginia, and Wyoming. Carol is passionate about helping clients achieve their financial goals and provides comprehensive financial planning services.
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.
Strategic management for diversified investment portfolios.
Asset allocation advice
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.
Fees calculated based on the performance of your investments relative to a benchmark.
See schedule d miscellaneous
1
2
CA
05/06/2023 - Present
Morgan Stanley (Beverly Hills CA)
CA
11/12/2019 - 05/24/2023
FIRST REPUBLIC SECURITIES COMPANY, LLC (LOS ANGELES CA)
CA
04/25/2014 - 11/20/2019
UBS FINANCIAL SERVICES INC. (WESTLAKE VILLAGE CA)
CA
04/17/2013 - 04/28/2014
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED (WESTLAKE VILLAGE CA)
CA
08/03/2004 - 04/15/2013
UBS FINANCIAL SERVICES INC. (WESTLAKE VILLAGE CA)
CA
12/09/2002 - 07/15/2004
THE SEIDLER COMPANIES INCORPORATED (LOS ANGELES CA)
CA
05/13/1998 - 12/09/2002
ROTH CAPITAL PARTNERS, LLC (NEWPORT BEACH CA)
NY
05/19/1997 - 05/08/1998
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED (NEW YORK NY)
CA
09/09/1993 - 04/28/1997
SUTRO & CO. INCORPORATED (SAN FRANCISCO CA)
NY
05/26/1993 - 09/22/1993
PRUDENTIAL SECURITIES INCORPORATED (NEW YORK NY)
NY
06/29/1992 - 04/26/1993
LEHMAN BROTHERS INC. (NEW YORK NY)
BOTH
Issued 11/09/2004
Series 66 - Uniform Combined State Law Examination
BC
Issued 08/25/1992
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 01/02/2023
Series 9 - General Securities Sales Supervisor - Options Module Examination
BC
Issued 01/02/2023
Series 10 - General Securities Sales Supervisor - General Module Examination
BC
Issued 12/09/1997
Series 8 - General Securities Sales Supervisor Examination (Options Module & General Module)
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 06/25/1992
Series 7 - General Securities Representative Examination
Active
Inactive
F
FINRA
N
NYSE American LLC
N
Nasdaq Stock Market
N
New York Stock Exchange
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