Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you Carol? Claim Your ProfileCarol Lynn Collias is a financial professional with over 30 years of experience in the financial services industry. Currently, Carol is an Investment Banker at Piper Sandler & Co. where Carol has worked since February 2011. Carol has held previous roles with Stifel, Nicolaus & Company, Incorporated, RBC Dain Rauscher Inc., and U.S. Bancorp Piper Jaffray Inc. Carol holds Series 3, 7, and 63 licenses as well as the SIE exam. Carol is registered with the state of Minnesota. Carol’s expertise includes portfolio management for businesses, and analytical reports/public finance consulting.
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.
Custom portfolio management strategies for businesses to achieve long-term growth.
Analytical reports/public finance consulting program
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
02/16/2011 - Present
Piper Sandler & Co. (MINNEAPOLIS MN)
MN
11/13/2007 - 01/20/2011
STIFEL, NICOLAUS & COMPANY, INCORPORATED (MINNEAPOLIS MN)
MN
09/30/2003 - 05/21/2007
RBC DAIN RAUSCHER INC. (MINNEAPOLIS MN)
MN
02/24/1988 - 10/20/2003
U.S. BANCORP PIPER JAFFRAY INC. (MINNEAPOLIS MN)
BC
Issued 03/18/1988
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 11/02/1990
Series 3 - National Commodity Futures Examination
BC
Issued 02/20/1988
Series 7 - General Securities Representative Examination
Active
Inactive
C
Cboe BYX Exchange, Inc.
C
Cboe BZX Exchange, Inc.
C
Cboe EDGA Exchange, Inc.
C
Cboe EDGX Exchange, Inc.
F
FINRA
I
Investors' Exchange LLC
N
NYSE American LLC
N
NYSE Arca, Inc.
N
Nasdaq ISE, LLC
N
Nasdaq Stock Market
N
New York Stock Exchange
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