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This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you Carolyn? Claim Your ProfileCarolyn Sterling is a financial advisor with Prospera Financial Services, Inc. in Dallas, TX. Carolyn has been in the financial industry since June 1998 and has a Series 6, 7, 24, 53, and 63 license. Carolyn has a Series 4 license, and passed the Series 65 and SIE exams. Carolyn specializes in providing financial planning, portfolio management, and pension consulting services to individuals, businesses, high-net-worth individuals, charitable organizations, and pooled investment vehicles. Carolyn has held previous roles at Avantax Investment Services, Inc. and HD Vest Advisory.
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.
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.
Fees calculated based on the performance of your investments relative to a benchmark.
Percentage of assets under review
1
2
TX
07/13/2022 - Present
Prospera Financial Services, Inc. (DALLAS TX)
TX
11/29/1995 - 09/25/2019
AVANTAX INVESTMENT SERVICES, INC. (DALLAS TX)
IA
Issued 03/24/1997
Series 65 - Uniform Investment Adviser Law Examination
BC
Issued 11/16/1995
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 02/13/1997
Series 4 - Registered Options Principal Examination
BC
Issued 11/25/1996
Series 53 - Municipal Securities Principal Examination
BC
Issued 05/24/1996
Series 24 - General Securities Principal Examination
BC
Issued 01/02/2023
Series 6TO - Investment Company Products/Variable Contracts Representative Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 03/18/1996
Series 7 - General Securities Representative Examination
BC
Issued 11/06/1995
Series 6 - Investment Company Products/Variable Contracts Representative Examination
Active
Inactive
F
FINRA
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