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This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you Carole? Claim Your ProfileCarole Duffey is a financial advisor with Stonex Advisors Inc., located in Montgomery, Alabama. Carole has been a financial advisor since August 2012 and has a total of 11 years of experience in the financial industry. Carole has a Series 6, 7, 63, and 66 licenses. In addition to being a financial advisor for Stonex Advisors Inc., Carole is also a financial advisor for River Bank & Trust. Carole helps clients with financial planning and investment management, including retirement planning, college savings, and estate planning.
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.
Financial consulting services
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.
1
2
AL
02/26/2024 - Present
Stonex Advisors Inc. (Montgomery AL)
AL
12/02/2014 - 02/27/2024
OSAIC INSTITUTIONS, INC. (Prattville AL)
TN
09/17/2012 - 12/08/2014
NEW ENGLAND SECURITIES (MEMPHIS TN)
AL
08/15/2012 - 09/07/2012
STERNE, AGEE & LEACH, INC. (MONTGOMERY AL)
BOTH
Issued 03/12/2018
Series 66 - Uniform Combined State Law Examination
BC
Issued 10/04/2012
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 11/20/2017
Series 7 - General Securities Representative Examination
BC
Issued 08/14/2012
Series 6 - Investment Company Products/Variable Contracts Representative Examination
Active
Inactive
F
FINRA
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