Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you Carol? Claim Your ProfileCarol Smith is a financial advisor with Wells Fargo Advisors Financial Network, LLC. Carol has been in the industry since 1999 and is registered in 26 states, including Nevada, New Mexico, and Texas. Carol specializes in working with individual and business clients, providing financial planning, investment management, and portfolio management 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.
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.
Investment consulting services to institutional clients
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.
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2
NV
02/21/2021 - Present
Wells Fargo Advisors Financial Network, LLC (RENO NV)
NM
01/16/2009 - 02/19/2021
WELLS FARGO CLEARING SERVICES, LLC (SANTA FE NM)
NM
04/02/2007 - 02/09/2009
MORGAN STANLEY & CO. INCORPORATED (SANTA FE NM)
NM
04/26/1999 - 04/02/2007
MORGAN STANLEY DW INC. (SANTA FE NM)
NJ
03/16/1999 - 05/05/1999
PAINEWEBBER INCORPORATED (WEEHAWKEN NJ)
IA
Issued 05/05/1999
Series 65 - Uniform Investment Adviser Law Examination
BC
Issued 02/26/1999
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 06/05/2021
Series 24 - General Securities Principal Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 09/03/1999
Series 31 - Futures Managed Funds Examination
BC
Issued 03/15/1999
Series 7 - General Securities Representative Examination
Active
Inactive
F
FINRA
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