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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 Ruth Smith is an Investment Advisor Representative with Beacon Pointe Advisors, LLC. Carolyn is a licensed professional with over 20 years of experience in the financial industry. Carolyn has previously worked with Financial Telesis Inc and United Planners' Financial Services of America a Limited Partner. Carolyn currently holds a Series 63 license as a Uniform Securities Agent and a Series 65 license as a Uniform Investment Advisor.
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.
Strategic management for diversified investment portfolios.
Consulting services
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.
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CA
05/12/2020 - Present
Beacon Pointe Advisors, LLC (NEWPORT BEACH CA)
CA
03/20/2006 - 09/27/2006
FINANCIAL TELESIS INC (NEWPORT BEACH CA)
AZ
01/24/2002 - 04/15/2004
UNITED PLANNERS' FINANCIAL SERVICES OF AMERICA A LIMITED PARTNER (SCOTTSDALE AZ)
IA
Issued 05/03/2016
Series 65 - Uniform Investment Adviser Law Examination
BC
Issued 03/21/2002
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 01/23/2002
Series 6 - Investment Company Products/Variable Contracts Representative Examination
Active
Inactive
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