Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you Carol? Claim Your ProfileCarol Louise Slater is a financial advisor currently affiliated with Robert W. Baird & Co. Inc. in Milwaukee, Wisconsin. Carol Slater has been in the industry since December 18, 2007. Carol Slater has passed the Series 66, Series 7 and SIE exams. Carol Slater is currently registered in 34 states, including Alabama, Arizona, California and Wisconsin. Carol Slater has also worked for Woodbury Financial Services, Inc., AXA Advisors, LLC and The O.N. Equity Sales Company in the past.
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.
See schedule d
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.
Hard dollar payments for research
1
2
WI
04/30/2013 - Present
Robert W. Baird & Co. Inc. (MILWAUKEE WI)
WI
12/09/2011 - 05/03/2013
WOODBURY FINANCIAL SERVICES, INC. (WEST BEND WI)
WI
02/04/2011 - 10/07/2011
AXA ADVISORS, LLC (MILWAUKEE WI)
WI
10/18/2007 - 02/08/2011
THE O.N. EQUITY SALES COMPANY (WAUSAU WI)
BOTH
Issued 11/24/2007
Series 66 - Uniform Combined State Law Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 10/17/2007
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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