Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you Carol? Claim Your ProfileCarol Rodgers-rivir is a financial advisor with over 24 years of experience in the industry. Carol is registered with Equitable Advisors, LLC, where she has worked since November 2012. Prior to joining Equitable Advisors, LLC, Carol worked with VALIC Financial Advisors, INC., Chase Investment Services Corp., BANC ONE SECURITIES CORPORATION, and MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED. Carol is licensed to provide investment advice in Colorado, Florida, Illinois, Indiana, Kentucky, Michigan, North Carolina, Ohio, and Pennsylvania. Carol is a Series 6, 7, 63, and 65 licensed professional with a strong background in providing financial planning, portfolio management, and pension consulting services.
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.
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.
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2
KY
11/11/2016 - Present
Equitable Advisors, LLC (KENTON HILLS KY)
OH
12/08/2005 - 11/08/2012
VALIC FINANCIAL ADVISORS, INC. (COLUMBUS OH)
IL
07/06/2005 - 08/08/2005
CHASE INVESTMENT SERVICES CORP. (CHICAGO IL)
IL
08/15/2003 - 07/06/2005
BANC ONE SECURITIES CORPORATION (CHICAGO IL)
NY
08/21/2000 - 07/08/2003
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED (NEW YORK NY)
RI
05/13/1997 - 06/02/2000
FIDELITY INVESTMENTS INSTITUTIONAL SERVICES COMPANY, INC. (SMITHFIELD RI)
IA
Issued 10/13/2000
Series 65 - Uniform Investment Adviser Law Examination
BC
Issued 07/09/1997
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 08/18/2000
Series 7 - General Securities Representative Examination
BC
Issued 05/12/1997
Series 6 - Investment Company Products/Variable Contracts Representative Examination
Active
Inactive
F
FINRA
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