Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you Carol? Claim Your ProfileCarol Elizabeth is a financial advisor with over 35 years of experience in the financial services industry. Carol is currently registered with Avantax Investment Services, Inc. and holds Series 6, 22, 26 and 63 licenses, as well as the SIE exam. Carol has previously worked for KMS Financial Services, Inc., TDI, Incorporated, PIM Financial Services, Inc., and Waddell & Reed, Inc.
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.
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.
1
2
OR
10/08/2015 - Present
Avantax Investment Services, Inc. (Portland OR)
OR
11/10/1997 - 10/09/2015
KMS FINANCIAL SERVICES, INC. (PORTLAND OR)
CO
12/17/1996 - 11/19/1997
TDI, INCORPORATED (ENGLEWOOD CO)
CA
09/20/1994 - 12/13/1996
PIM FINANCIAL SERVICES, INC. (SAN MARCOS CA)
WA
10/31/1988 - 09/06/1994
KMS FINANCIAL SERVICES, INC. (SEATTLE WA)
NA
05/11/1988 - 11/15/1988
WADDELL & REED, INC.
BC
Issued 05/10/1988
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 01/10/1995
Series 26 - Investment Company Products/Variable Contracts Principal Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 07/08/1988
Series 22 - Direct Participation Programs Representative Examination
BC
Issued 05/10/1988
Series 6 - Investment Company Products/Variable Contracts Representative Examination
Active
Inactive
F
FINRA
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