Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you Carolyn? Claim Your ProfileCarolyn Kay Hall is a financial advisor with UBS Financial Services Inc. Carolyn has been in the financial services industry since 1992 and has experience working with Wells Fargo Advisors Financial Network, LLC and HighTower Securities, LLC. Carolyn holds Series 3, 7, 9, 10, 63 and 65 licenses and has experience working with individuals, corporations, investment companies, charitable organizations and pension and profit sharing plans. Carolyn is a well-rounded financial advisor with a breadth of experience and credentials.
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
MI
05/10/2018 - Present
UBS Financial Services Inc. (FARMINGTON HILLS MI)
MI
05/02/2017 - 05/07/2018
HIGHTOWER SECURITIES, LLC (Bloomfield Hills MI)
MI
05/09/2014 - 05/02/2017
WELLS FARGO ADVISORS FINANCIAL NETWORK, LLC (BLOOMFIELD HILLS MI)
MI
05/15/2009 - 05/01/2014
WELLS FARGO ADVISORS, LLC (TROY MI)
MI
04/25/2008 - 01/08/2009
TELEMUS INVESTMENT BROKERS, LLC (SOUTHFIELD MI)
MI
07/01/2003 - 08/23/2007
WACHOVIA SECURITIES, LLC (WEST BLOOMFIELD MI)
NY
03/24/1992 - 07/01/2003
PRUDENTIAL SECURITIES INCORPORATED (NEW YORK NY)
IA
Issued 04/24/1995
Series 65 - Uniform Investment Adviser Law Examination
BC
Issued 06/11/1992
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 01/02/2023
Series 9 - General Securities Sales Supervisor - Options Module Examination
BC
Issued 01/02/2023
Series 10 - General Securities Sales Supervisor - General Module Examination
BC
Issued 10/18/1993
Series 8 - General Securities Sales Supervisor Examination (Options Module & General Module)
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 07/05/1995
Series 3 - National Commodity Futures Examination
BC
Issued 03/23/1992
Series 7 - General Securities Representative Examination
Active
Inactive
B
BOX Exchange LLC
C
Cboe Exchange, Inc.
F
FINRA
N
NYSE American LLC
N
NYSE Arca, Inc.
N
NYSE Chicago, Inc.
N
Nasdaq ISE, LLC
N
Nasdaq PHLX LLC
N
Nasdaq Stock Market
N
New York Stock Exchange
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