Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you Carol? Claim Your ProfileCarol Pennica is a registered investment advisor representative with J. W. Cole Advisors, Inc. Carol has been in the industry since December 1996 and has held a variety of roles at different firms. Carol is currently active in Colorado and has held a variety of licenses and designations over the years. Carol provides a range of services, including financial planning, educational seminars and portfolio management for individuals and businesses.
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.
Hourly & fixed rate consulting
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
FL
10/10/2008 - Present
J. W. Cole Advisors, Inc. (TAMPA FL)
CO
04/12/2002 - 10/10/2008
WORLD GROUP SECURITIES, INC. (COLORADO SPRINGS CO)
GA
12/23/1996 - 04/12/2002
WMA SECURITIES, INC. (DULUTH GA)
IA
Issued 04/20/2007
Series 65 - Uniform Investment Adviser Law Examination
BC
Issued 01/20/1997
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 05/04/2016
Series 24 - General Securities Principal Examination
BC
Issued 07/23/1999
Series 26 - Investment Company Products/Variable Contracts Principal Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 05/26/2015
Series 7 - General Securities Representative Examination
BC
Issued 12/20/1996
Series 6 - Investment Company Products/Variable Contracts Representative Examination
Active
Inactive
F
FINRA
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