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 Stewart Hotra is a financial advisor currently registered with Raymond James & Associates, Inc. in St. Louis, Missouri. Carolyn has been working in the financial industry since January 4, 2008. Prior to joining Raymond James & Associates, Inc., Carolyn worked at Hilltop Securities Independent Network Inc. and Hilltop Securities Inc. in Dallas, Texas. Carolyn also previously worked at Nobles & Richards, Inc. in Plano, Texas and Chestnut Exploration Partners, Inc. in Richardson, Texas. Carolyn holds various licenses and certifications, including Series 6, 7, 22, 24, 26, 39, 52, 53, 63, 66 and SIE.
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.
Please see note in schedule d - miscellaneous
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
MO
10/22/2020 - Present
Raymond James & Associates, Inc. (ST LOUIS MO)
TX
09/04/2014 - 07/01/2019
HILLTOP SECURITIES INDEPENDENT NETWORK INC. (DALLAS TX)
TX
08/18/2014 - 07/01/2019
HILLTOP SECURITIES INC. (DALLAS TX)
TX
03/06/2014 - 08/12/2014
NOBLES & RICHARDS, INC. (PLANO TX)
TX
01/20/2006 - 07/15/2013
CHESTNUT EXPLORATION PARTNERS, INC. (RICHARDSON TX)
BOTH
Issued 08/10/2017
Series 66 - Uniform Combined State Law Examination
BC
Issued 02/23/2006
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 11/29/2018
Series 53 - Municipal Securities Principal Examination
BC
Issued 07/21/2016
Series 24 - General Securities Principal Examination
BC
Issued 05/07/2009
Series 26 - Investment Company Products/Variable Contracts Principal Examination
BC
Issued 04/27/2006
Series 39 - Direct Participation Programs Principal Examination
BC
Issued 01/02/2023
Series 99TO - Operations Professional Examination
BC
Issued 11/01/2018
Series 52 - Municipal Securities Representative Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 12/04/2014
Series 7 - General Securities Representative Examination
BC
Issued 04/09/2009
Series 6 - Investment Company Products/Variable Contracts Representative Examination
BC
Issued 01/19/2006
Series 22 - Direct Participation Programs Representative Examination
Active
Inactive
F
FINRA
N
NYSE American LLC
N
Nasdaq PHLX LLC
N
Nasdaq Stock Market
N
New York Stock Exchange
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