Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you Carol? Claim Your ProfileCarol McCann is a financial advisor with Oppenheimer & Co. Inc., with over 27 years of experience in the industry. Carol holds the Series 7, 9, 10, 63, and 66 licenses. Carol has previously worked for Prudential Securities Incorporated and Wells Fargo Clearing Services, LLC. Carol specializes in providing financial planning and portfolio management services to individuals, families, and businesses. Carol is committed to helping clients achieve their financial goals.
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.
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.
1
2
NY
08/09/2017 - Present
Oppenheimer & Co. Inc. (NEW YORK NY)
PA
07/01/2003 - 08/02/2017
WELLS FARGO CLEARING SERVICES, LLC (CANONSBURG PA)
NY
05/19/1995 - 07/01/2003
PRUDENTIAL SECURITIES INCORPORATED (NEW YORK NY)
BOTH
Issued 07/16/2010
Series 66 - Uniform Combined State Law Examination
BC
Issued 06/12/1995
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 06/30/2003
Series 10 - General Securities Sales Supervisor - General Module Examination
BC
Issued 04/28/2003
Series 9 - General Securities Sales Supervisor - Options Module Examination
BC
Issued 01/02/2023
Series 99TO - Operations Professional Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 05/18/1995
Series 7 - General Securities Representative Examination
Active
Inactive
C
Cboe Exchange, Inc.
F
FINRA
N
NYSE American LLC
N
NYSE Arca, Inc.
N
NYSE Chicago, Inc.
N
Nasdaq ISE, LLC
N
Nasdaq PHLX LLC
N
Nasdaq Stock Market
N
New York Stock Exchange
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