Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you Carol? Claim Your ProfileCarol Jean Harper is a financial advisor at Ameriprise Financial Services, LLC, in Dallas, Texas. Carol has been in the financial industry since 1994. She has a Series 7 and 66 registration with FINRA, and is licensed to provide financial advice in many states. Carol has extensive experience in various areas, including financial planning, asset allocation, and portfolio management. She specializes in serving the needs of individuals, corporations, and retirement plans.
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.
Asset allocation services
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.
A percentage of the total value of assets under management is charged.
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2
TX
10/05/2009 - Present
Ameriprise Financial Services, LLC (DALLAS TX)
TX
03/27/2009 - 10/05/2009
AMERIPRISE ADVISOR SERVICES, INC. (RICHARDSON TX)
TX
12/19/2000 - 03/30/2009
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED (DALLAS TX)
NY
05/01/2000 - 12/15/2000
BANC OF AMERICA SECURITIES LLC (NEW YORK NY)
NY
09/28/1992 - 07/31/1996
NATIONSBANC CAPITAL MARKETS, INC. (NEW YORK NY)
NY
08/20/1987 - 11/11/1989
DEAN WITTER REYNOLDS INC. (PURCHASE NY)
BOTH
Issued 01/08/2001
Series 66 - Uniform Combined State Law Examination
BC
Issued 05/02/2000
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 04/19/1995
Series 53 - Municipal Securities Principal Examination
BC
Issued 12/01/1992
Series 24 - General Securities Principal Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 03/17/2003
Series 31 - Futures Managed Funds Examination
BC
Issued 10/19/1992
Series 7 - General Securities Representative Examination
Active
Inactive
F
FINRA
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