Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you Carol? Claim Your ProfileCarol Marie Stafford Klatt is an active investment advisor representative associated with Raymond James Financial Services Advisors, Inc.. Carol has been active in the financial industry since July 19, 2001. Carol has passed the Series 63, Series 65, Series 7, Series 9, Series 10 and SIE exams. Carol is currently registered with the state of Washington and Texas as a Registered Representative. Carol has 24 other active registrations as a Registered Representative. Carol is also registered in Texas as an Investment Advisor Representative. Carol is associated with Alden Capital Management LLC as an Associate/Employee and a support company.
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.
Hourly & fixed rate consultations
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.
Per participant (erisa)
1
2
WA
01/03/2012 - Present
Raymond James Financial Services Advisors, Inc. (BELLEVUE WA)
IA
Issued 12/05/2011
Series 65 - Uniform Investment Adviser Law Examination
BC
Issued 08/13/2001
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 01/24/2022
Series 10 - General Securities Sales Supervisor - General Module Examination
BC
Issued 12/03/2021
Series 9 - General Securities Sales Supervisor - Options Module Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 07/19/2001
Series 7 - General Securities Representative Examination
Active
Inactive
F
FINRA
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