Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you Carole? Claim Your ProfileCarole Burns is a financial professional with over 20 years of experience in the industry. Carole has worked for several firms, including Citizens Securities, Inc., PNC FUNDS DISTRIBUTOR, LLC, PNC INVESTMENTS, and PROFESSIONAL FUNDS DISTRIBUTOR, LLC. Carole is currently registered with Merrill Lynch, Pierce, Fenner & Smith Inc. as a Registered Representative and Investment Advisor Representative. Carole has a wide range of experience in providing financial advice to a variety of clients, including individuals, corporations, and charitable organizations.
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.
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.
Performance measurement reports, allocation modeling, ips, research reports and services, see schedule d
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.
1
2
OH
02/16/2022 - Present
Merrill Lynch, Pierce, Fenner & Smith Inc. (WESTLAKE OH)
OH
08/26/2020 - 08/26/2021
CITIZENS SECURITIES, INC. (WESTLAKE OH)
OH
08/14/2014 - 11/20/2019
PNC FUNDS DISTRIBUTOR, LLC (CLEVELAND OH)
OH
06/03/2011 - 08/05/2014
PNC INVESTMENTS (CLEVELAND OH)
ME
11/03/2009 - 05/16/2011
PROFESSIONAL FUNDS DISTRIBUTOR, LLC (PORTLAND ME)
OH
06/18/2007 - 10/30/2009
NATCITY INVESTMENTS, INC. (CLEVELAND OH)
OH
03/01/2006 - 05/07/2007
FUNDS DISTRIBUTOR, INC. (CLEVELAND OH)
OH
01/02/2004 - 05/07/2007
VICTORY CAPITAL ADVISERS, INC. (CLEVELAND OH)
OH
09/05/2001 - 12/31/2003
MCDONALD INVESTMENTS INC. (CLEVELAND OH)
IA
Issued 12/04/2008
Series 65 - Uniform Investment Adviser Law Examination
BC
Issued 03/20/2002
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 02/23/2022
Series 10 - General Securities Sales Supervisor - General Module Examination
BC
Issued 12/20/2021
Series 9 - General Securities Sales Supervisor - Options Module Examination
BC
Issued 09/20/2022
Series 31 - Futures Managed Funds Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 09/04/2001
Series 7 - General Securities Representative Examination
Active
Inactive
C
Cboe BYX Exchange, Inc.
C
Cboe BZX Exchange, Inc.
C
Cboe Exchange, Inc.
F
FINRA
I
Investors' Exchange LLC
N
Nasdaq Stock Market
N
New York Stock Exchange
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