Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you Carol? Claim Your ProfileCarol Nevins is a financial advisor at Merrill Lynch, Pierce, Fenner & Smith Incorporated. Carol has been in the industry since 1986 and has experience working with individuals, businesses, insurance companies, charitable organizations, pension and profit-sharing plans, and state or municipal government entities. Carol is registered with the Financial Industry Regulatory Authority (FINRA) and is licensed to provide financial advice in 53 states, including Delaware, District of Columbia, Maryland, Pennsylvania, and Texas. Carol is also a registered Investment Advisor Representative in 5 states, including Delaware, District of Columbia, Maryland, Pennsylvania, and Texas. Carol has a strong track record of providing clients with sound financial advice and helping them reach their financial goals.
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.
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.
Performance measurement reports, allocation modeling, ips, research reports and services, 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.
1
2
PA
12/06/2012 - Present
Merrill Lynch, Pierce, Fenner & Smith Inc. (PHILADELPHIA PA)
IA
Issued 10/14/1994
Series 65 - Uniform Investment Adviser Law Examination
BC
Issued 7/23/1986
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 1/2/2023
Series 10 - General Securities Sales Supervisor - General Module Examination
BC
Issued 1/2/2023
Series 9 - General Securities Sales Supervisor - Options Module Examination
BC
Issued 8/24/1995
Series 8 - General Securities Sales Supervisor Examination (Options Module & General Module)
BC
Issued 10/1/2018
SIE - Securities Industry Essentials Examination
BC
Issued 6/25/2013
Series 3 - National Commodity Futures Examination
BC
Issued 6/21/1986
Series 7 - General Securities Representative Examination
Active
Inactive
C
Cboe BYX Exchange, Inc.
C
Cboe BZX Exchange, Inc.
C
Cboe Exchange, Inc.
F
FINRA
I
Investors' Exchange LLC
N
Nasdaq Stock Market
N
New York Stock Exchange
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