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This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you Carolyn? Claim Your ProfileCarolyn Elaine Garofalo is a financial advisor with Ameriprise Financial Services, LLC, working out of the Houston, TX office. Carolyn has been in the financial services industry since 1993 and has a wide range of experience. Carolyn is registered with FINRA and the state of Texas. She has a Series 7 and Series 63 license as well as the SIE exam. She has previously worked for firms such as VOYA FINANCIAL ADVISORS, INC., SWS FINANCIAL SERVICES, DAIN RAUSCHER INCORPORATED and LEGG MASON WOOD WALKER, INCORPORATED.
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.
Asset allocation 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.
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TX
04/05/2019 - Present
Ameriprise Financial Services, LLC (Houston TX)
TX
01/02/2009 - 03/26/2019
VOYA FINANCIAL ADVISORS, INC. (HOUSTON TX)
TX
10/23/2002 - 01/05/2009
SWS FINANCIAL SERVICES (HOUSTON TX)
NY
06/16/2000 - 04/09/2001
DAIN RAUSCHER INCORPORATED (NEW YORK NY)
MD
05/18/1998 - 06/28/2000
LEGG MASON WOOD WALKER, INCORPORATED (BALTIMORE MD)
NY
07/15/1994 - 06/02/1998
CIBC OPPENHEIMER CORP. (NEW YORK NY)
NY
11/07/1991 - 07/21/1994
PRUDENTIAL SECURITIES INCORPORATED (NEW YORK NY)
BC
Issued 11/26/1991
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 11/05/1991
Series 7 - General Securities Representative Examination
Active
Inactive
F
FINRA
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