Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you Carol? Claim Your ProfileCarol Lewis is a financial advisor with over 26 years of experience in the industry. Carol is currently registered with RBC Capital Markets, LLC, and has been with the firm since March of 2008. Prior to that, Carol worked with Citigroup Global Markets Inc and UBS Financial Services Inc. Carol holds several professional licenses and designations, including Series 3, 7, 9, 10, 63, and 66. Carol specializes in a variety of investment services, including portfolio management for individuals, businesses, and pooled investment vehicles, financial planning, and pension consulting. Carol is registered to provide investment advisory services in all 50 states and the District of Columbia.
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.
Service public & private employee benefit plans, endowment funds, foundations, family trusts & various capital/operating funds
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.
1
2
CA
02/15/2007 - Present
RBC Capital Markets, LLC (BEVERLY HILLS CA)
CA
09/10/2003 - 02/26/2007
CITIGROUP GLOBAL MARKETS INC. (LOS ANGELES CA)
NJ
06/05/2003 - 07/30/2003
UBS FINANCIAL SERVICES INC. (WEEHAWKEN NJ)
NJ
11/10/1995 - 03/10/2003
UBS PAINEWEBBER INC. (WEEHAWKEN NJ)
BOTH
Issued 06/06/2000
Series 66 - Uniform Combined State Law Examination
BC
Issued 06/26/1995
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 06/16/2007
Series 10 - General Securities Sales Supervisor - General Module Examination
BC
Issued 12/23/2006
Series 9 - General Securities Sales Supervisor - Options Module Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 12/05/2009
Series 3 - National Commodity Futures Examination
BC
Issued 02/27/1995
Series 7 - General Securities Representative Examination
Active
Inactive
B
BOX Exchange LLC
C
Cboe BYX Exchange, Inc.
C
Cboe BZX Exchange, Inc.
C
Cboe C2 Exchange, Inc.
C
Cboe EDGA Exchange, Inc.
C
Cboe EDGX Exchange, Inc.
C
Cboe Exchange, Inc.
F
FINRA
I
Investors' Exchange LLC
L
Long-Term Stock Exchange, Inc.
M
MEMX LLC
M
MIAX PEARL, LLC
N
NYSE American LLC
N
NYSE Arca, Inc.
N
NYSE Chicago, Inc.
N
NYSE National, Inc.
N
Nasdaq BX, Inc.
N
Nasdaq GEMX, LLC
N
Nasdaq ISE, LLC
N
Nasdaq PHLX LLC
N
Nasdaq Stock Market
N
New York Stock Exchange
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