Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you Carol? Claim Your ProfileCarol Mills is a financial advisor working with Wells Fargo Clearing Services, LLC. Carol has been working in the financial industry since 2000. Carol holds Series 63, Series 10, Series 9, SIE, and Series 7 licenses. Carol is registered in 47 states and the District of Columbia as a broker and investment advisor. Prior to joining Wells Fargo Clearing Services, LLC, Carol was employed by MORGAN STANLEY and WELLS FARGO ADVISORS, LLC.
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.
Investment consulting services to institutional clients
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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2
MN
11/18/2014 - Present
Wells Fargo Clearing Services, LLC (MONTICELLO MN)
MN
09/16/2011 - 11/17/2014
MORGAN STANLEY (BLOOMINGTON MN)
MN
01/01/2008 - 09/20/2011
WELLS FARGO ADVISORS, LLC (MINNETONKA MN)
MN
06/12/2000 - 01/03/2008
A. G. EDWARDS & SONS, INC. (MINNETONKA MN)
BC
Issued 08/31/2000
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 04/26/2004
Series 10 - General Securities Sales Supervisor - General Module Examination
BC
Issued 01/26/2004
Series 9 - General Securities Sales Supervisor - Options Module Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 06/09/2000
Series 7 - General Securities Representative Examination
Active
Inactive
C
Cboe Exchange, Inc.
F
FINRA
N
NYSE American LLC
N
Nasdaq PHLX LLC
N
Nasdaq Stock Market
N
New York Stock Exchange
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