Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you Carolyn? Claim Your ProfileCarolyn McIver is a financial advisor who has been in the industry since 2005. Currently, Carolyn is registered with Wells Fargo Clearing Services, LLC and is licensed in 53 states. Carolyn has a diverse background, having previously worked at Morgan Stanley, Detwiler Fenton & Co., UBS Financial Services Inc., Morgan Stanley DW Inc., BANC OF AMERICA SECURITIES LLC, DEAN WITTER REYNOLDS INC., SMITH BARNEY INC., and PAINEWEBBER INCORPORATED.
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.
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.
Investment consulting services to institutional clients
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.
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2
MA
02/23/2024 - Present
Wells Fargo Clearing Services, LLC (WALTHAM MA)
NC
09/16/2011 - 02/27/2024
MORGAN STANLEY (Raleigh NC)
MA
08/25/2009 - 08/25/2011
DETWILER FENTON & CO. (TOPSFIELD MA)
MA
07/16/2009 - 09/02/2009
UBS FINANCIAL SERVICES INC. (PEABODY MA)
NY
03/06/2003 - 05/19/2003
MORGAN STANLEY DW INC. (PURCHASE NY)
NY
09/19/2002 - 03/04/2003
BANC OF AMERICA SECURITIES LLC (NEW YORK NY)
NY
05/25/2000 - 01/23/2001
DEAN WITTER REYNOLDS INC. (PURCHASE NY)
NY
03/12/1996 - 09/23/1998
SMITH BARNEY INC. (NEW YORK NY)
NJ
10/24/1995 - 02/08/1996
PAINEWEBBER INCORPORATED (WEEHAWKEN NJ)
BOTH
Issued 11/12/2009
Series 66 - Uniform Combined State Law Examination
IA
Issued 04/02/1996
Series 65 - Uniform Investment Adviser Law Examination
BC
Issued 10/30/1995
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 05/22/2015
Series 10 - General Securities Sales Supervisor - General Module Examination
BC
Issued 02/17/2015
Series 9 - General Securities Sales Supervisor - Options Module Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 10/10/2011
Series 31 - Futures Managed Funds Examination
BC
Issued 07/15/2009
Series 7 - General Securities Representative Examination
Active
Inactive
C
Cboe BZX Exchange, Inc.
C
Cboe Exchange, Inc.
F
FINRA
N
NYSE American LLC
N
NYSE Arca, Inc.
N
NYSE Chicago, 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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