Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you Carolyn? Claim Your ProfileCarolyn Fleury is a financial advisor with over 25 years of experience in the industry. Carolyn is currently registered with Merrill Lynch, Pierce, Fenner & Smith Inc. Carolyn has previously worked at MML Investors Services, LLC, NYLIFE Securities LLC, and J.P. MORGAN SECURITIES INC. Carolyn holds multiple FINRA licenses including Series 7, 63, and 65. Carolyn is also registered as an Investment Advisor Representative in Nebraska, Tennessee and Texas. Carolyn is dedicated to providing clients with personalized financial advice and guidance.
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.
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.
Performance measurement reports, allocation modeling, ips, research reports and services, see schedule d
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
NE
11/04/2021 - Present
Merrill Lynch, Pierce, Fenner & Smith Inc. (OMAHA NE)
TN
10/15/2019 - 06/22/2021
MML INVESTORS SERVICES, LLC (Franklin TN)
TN
02/06/2018 - 10/08/2019
NYLIFE SECURITIES LLC (FRANKLIN TN)
NY
08/23/1995 - 09/20/1996
J.P. MORGAN SECURITIES INC. (NEW YORK NY)
IA
Issued 05/19/2020
Series 65 - Uniform Investment Adviser Law Examination
BC
Issued 06/27/2018
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 01/27/2021
Series 7TO - General Securities Representative Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 02/06/2018
Series 6 - Investment Company Products/Variable Contracts Representative Examination
BC
Issued 08/22/1995
Series 7 - General Securities Representative Examination
Active
Inactive
C
Cboe BYX Exchange, Inc.
C
Cboe BZX Exchange, Inc.
C
Cboe Exchange, Inc.
F
FINRA
N
Nasdaq Stock Market
N
New York Stock Exchange
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