Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you Carolyn? Claim Your ProfileCarolyn Smith is a registered representative with Mizuho Securities USA LLC. Carolyn has been in the securities industry since 2012 and has experience with RBS Securities Inc. Carolyn is licensed to sell securities in 52 states and territories. Carolyn holds the Series 7 and Series 63 licenses and the SIE exam. Carolyn is currently registered with FINRA.
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.
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.
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NY
06/01/2016 - Present
Mizuho Securities USA LLC (NEW YORK NY)
CT
08/25/2011 - 04/16/2015
RBS SECURITIES INC. (STAMFORD CT)
BC
Issued 09/01/2011
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 08/24/2011
Series 7 - General Securities Representative Examination
Active
Inactive
F
FINRA
N
Nasdaq Stock Market
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