Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you Carol? Claim Your ProfileCarol Maier is a financial professional with over 25 years of experience in the financial services industry. Carol has a strong track record of success in providing investment advice and portfolio management services to a wide range of clients, including high-net-worth individuals, corporations, and institutions. Carol is currently registered with Goldman Sachs & Co. LLC and has previously held positions with GOLDMAN SACHS EXECUTION & CLEARING, L.P., Goldman, Sachs & Co., CANACCORD ADAMS INC., BANC OF AMERICA SECURITIES LLC, E*OFFERING, BANCBOSTON ROBERTSON STEPHENS INC., and BANCAMERICA ROBERTSON STEPHENS. Carol holds the Series 7, Series 55, SIE, and Series 57TO licenses.
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.
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.
Earned based on transactions or products sold.
A percentage of the total value of assets under management is charged.
Fees calculated based on the performance of your investments relative to a benchmark.
Execution charges, custody, management fee
1
2
UT
02/08/2016 - Present
Goldman Sachs & Co. LLC (SALT LAKE CITY UT)
NY
03/29/2010 - 12/16/2016
GOLDMAN SACHS EXECUTION & CLEARING, L.P. (NEW YORK NY)
NY
11/05/2010 - 11/10/2010
GOLDMAN, SACHS & CO. (NEW YORK NY)
NY
03/29/2010 - 11/05/2010
GOLDMAN, SACHS & CO. (NEW YORK NY)
NY
02/26/2009 - 11/16/2009
CANACCORD ADAMS INC. (NEW YORK NY)
NY
09/22/2000 - 02/27/2009
BANC OF AMERICA SECURITIES LLC (NEW YORK NY)
CA
05/10/1999 - 08/03/2000
E*OFFERING (SAN FRANCISCO CA)
CA
09/01/1998 - 04/13/1999
BANCBOSTON ROBERTSON STEPHENS INC. (SAN FRANCISCO CA)
CA
12/22/1997 - 09/01/1998
BANCAMERICA ROBERTSON STEPHENS (SAN FRANCISCO CA)
BC
Issued 05/22/1998
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 01/02/2023
Series 57TO - Securities Trader Exam
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 08/27/1999
Series 55 - Limited Representative-Equity Trader Exam
BC
Issued 12/19/1997
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 Emerald, LLC
M
MIAX PEARL, LLC
M
Miami International Securities Exchange, 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 MRX, LLC
N
Nasdaq PHLX LLC
N
Nasdaq Stock Market
N
New York Stock Exchange
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