Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you Carolyn? Claim Your ProfileCarolyn Huszagh Smith is a financial professional with over 2 years of experience in the industry. Carolyn currently works at RBC Capital Markets, LLC where she provides financial services to individuals and businesses. Previously, Carolyn held roles at BOFA SECURITIES, INC. and BTIG, LLC. Carolyn has a strong track record of success in helping clients achieve their financial goals. Carolyn holds the Series 63, 7TO, 86, 87 and SIE licenses.
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.
Service public & private employee benefit plans, endowment funds, foundations, family trusts & various capital/operating funds
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
IL
06/26/2024 - Present
RBC Capital Markets, LLC (CHICAGO IL)
NY
02/02/2022 - 06/17/2024
BOFA SECURITIES, INC. (NEW YORK NY)
IL
11/03/2020 - 12/06/2021
BTIG, LLC (CHICAGO IL)
BC
Issued 07/27/2020
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 04/30/2022
Series 7TO - General Securities Representative Examination
BC
Issued 11/03/2020
Series 86 - Research Analyst Exam - Part I Analysis Module
BC
Issued 08/17/2020
Series 87 - Research Analyst Exam - Part II Regulations Module
BC
Issued 06/12/2020
SIE - Securities Industry Essentials 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 PEARL, 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 PHLX LLC
N
Nasdaq Stock Market
N
New York Stock Exchange
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