Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you Carolyn? Claim Your ProfileCarolyn Elizabeth Curry is a financial professional with over 27 years of experience in the industry. Carolyn is a registered representative and holds Series 3, 4, 7, 8, 9, 10, 16, 23, 24, 63 and SIE licenses. She is currently employed with UBS Financial Services Inc. and UBS Securities LLC. Previously, Carolyn worked for HSBC Securities, Inc., NATWEST SECURITIES CORPORATION, and Raymond James & Associates, Inc. Carolyn specializes in providing financial advice to individuals, corporations, charitable organizations, and other institutions.
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.
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.
See schedule d - miscellaneous
1
2
NJ
06/09/2004 - Present
UBS Financial Services Inc. (WEEHAWKEN NJ)
NY
10/21/1997 - 03/17/1999
HSBC SECURITIES, INC. (NEW YORK CITY NY)
NY
08/08/1996 - 10/06/1997
NATWEST SECURITIES CORPORATION (NEW YORK NY)
FL
05/01/1995 - 05/17/1996
RAYMOND JAMES & ASSOCIATES, INC. (ST. PETERSBURG FL)
BC
Issued 06/08/1995
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 01/02/2023
Series 24 - General Securities Principal Examination
BC
Issued 01/02/2023
Series 10 - General Securities Sales Supervisor - General Module Examination
BC
Issued 01/02/2023
Series 9 - General Securities Sales Supervisor - Options Module Examination
BC
Issued 10/14/2010
Series 23 - General Securities Principal Sales Supervisor
BC
Issued 01/31/2008
Series 4 - Registered Options Principal Examination
BC
Issued 09/19/1997
Series 8 - General Securities Sales Supervisor Examination (Options Module & General Module)
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 02/16/2012
Series 3 - National Commodity Futures Examination
BC
Issued 12/08/1995
Series 16 - NYSE Supervisory Analyst Examination
BC
Issued 04/28/1995
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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