Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you Carolyn? Claim Your ProfileCarolyn Leith is a financial advisor at Robert W. Baird & Co. Inc. She has been in the financial services industry since September 24, 1985. Carolyn is registered with the Financial Industry Regulatory Authority (FINRA) and holds Series 3, 7, 63, and 65 licenses. In addition, she is registered with the state of Maine and has a resident registration with Texas for investment advisory services. Carolyn is a member of the investment/finance committee at White Memorial Presbyterian Church overseeing investments and allocations made at Vanguard Investment related. She provides financial planning, portfolio management for individuals, businesses, pooled investment vehicles, and investment companies.
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.
See schedule d
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.
Hard dollar payments for research
1
2
NC
10/04/2018 - Present
Robert W. Baird & Co. Inc. (RALEIGH NC)
NC
06/01/2009 - 12/17/2010
MORGAN STANLEY SMITH BARNEY (RALEIGH NC)
NC
07/31/1993 - 06/01/2009
CITIGROUP GLOBAL MARKETS INC. (RALEIGH NC)
NY
09/12/1988 - 07/31/1993
LEHMAN BROTHERS INC. (NEW YORK NY)
NA
09/25/1985 - 09/19/1988
THE ROBINSON-HUMPHREY COMPANY INC.
IA
Issued 09/17/1991
Series 65 - Uniform Investment Adviser Law Examination
BC
Issued 10/11/1985
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 11/04/1985
Series 3 - National Commodity Futures Examination
BC
Issued 09/21/1985
Series 7 - General Securities Representative Examination
Active
Inactive
F
FINRA
N
NYSE American LLC
N
Nasdaq Stock Market
N
New York Stock Exchange
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