Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you Carol? Claim Your ProfileCarol Patricia Vance is a registered representative with MML Investors Services, LLC and has been in the industry since 1993. Carol holds the Series 63, Series 66 and Series 7 securities licenses as well as the SIE exam. Carol has previously worked at Morgan Stanley, Lincoln Financial Distributors, Inc., American Skandia Marketing, Inc., American Express Financial Advisors Inc. and IDS Life Insurance Company. Carol Vance is currently registered in Massachusetts and New Mexico.
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.
Asset allocation programs
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.
Solicitors fees
1
2
MA
09/02/2021 - Present
MML Investors Services, LLC (SPRINGFIELD MA)
NM
01/29/2016 - 08/24/2021
MORGAN STANLEY (Albuquerque NM)
CT
08/04/2003 - 01/08/2016
LINCOLN FINANCIAL DISTRIBUTORS, INC. (HARTFORD CT)
CT
11/25/1998 - 07/30/2003
AMERICAN SKANDIA MARKETING, INC. (SHELTON CT)
MN
10/29/1993 - 11/20/1998
AMERICAN EXPRESS FINANCIAL ADVISORS INC. (MINNEAPOLIS MN)
MN
10/29/1993 - 11/20/1998
IDS LIFE INSURANCE COMPANY (MINNEAPOLIS MN)
BOTH
Issued 03/01/2016
Series 66 - Uniform Combined State Law Examination
IA
Issued 03/21/2001
Series 65 - Uniform Investment Adviser Law Examination
BC
Issued 05/14/1997
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 10/28/1993
Series 7 - General Securities Representative Examination
Active
Inactive
F
FINRA
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