Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you Carolyn? Claim Your ProfileCarolyn Ann Thompson is a financial advisor who has been working in the financial services industry since 2005. Carolyn is currently registered with Fidelity Personal And Workplace Advisors and has a strong background in investments and financial planning. She is also active in providing educational seminars for clients and has experience in selecting other advisors.
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.
A percentage of the total value of assets under management is charged.
1
2
PA
04/24/2023 - Present
Fidelity Personal AND Workplace Advisors (CRANBERRY TOWNSHIP PA)
PA
02/01/2021 - 05/17/2021
PMA SECURITIES, LLC (Lancaster PA)
PA
03/14/2017 - 01/29/2021
RBC CAPITAL MARKETS, LLC (LANCASTER PA)
PA
12/20/2001 - 01/31/2002
GRANT STREET SECURITIES, INC. (PITTSBURGH PA)
RI
05/03/1996 - 04/18/2000
FIDELITY INVESTMENTS INSTITUTIONAL SERVICES COMPANY, INC. (SMITHFIELD RI)
PA
09/16/1993 - 03/21/1996
FEDERATED SECURITIES CORP. (PITTSBURGH PA)
IL
09/15/1987 - 08/02/1993
JOHN NUVEEN & CO., INCORPORATED (CHICAGO IL)
BOTH
Issued 05/24/2017
Series 66 - Uniform Combined State Law Examination
IA
Issued 09/02/1993
Series 65 - Uniform Investment Adviser Law Examination
BC
Issued 12/02/1988
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 03/15/2021
Series 50 - Municipal Advisor Representative Qualification Exam
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 03/14/2017
Series 7 - General Securities Representative Examination
BC
Issued 09/14/1987
Series 6 - Investment Company Products/Variable Contracts Representative Examination
Active
Inactive
F
FINRA
N
New York Stock Exchange
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