Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you Carolyn? Claim Your ProfileCarolyn Wittmann-todd is a financial professional with over 10 years of experience in the industry. Carolyn has held positions at several firms, including Raymond James & Associates, Inc., Robert W. Baird & Co. Incorporated, and Deutsche Bank Securities Inc. Carolyn's current role is with Merrill Lynch, Pierce, Fenner & Smith Inc. Carolyn has a strong background in securities and investments. Carolyn is registered to provide investment advice and services in a wide range of states across the country.
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.
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.
Performance measurement reports, allocation modeling, ips, research reports and services, 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.
1
2
WA
05/16/2024 - Present
Merrill Lynch, Pierce, Fenner & Smith Inc. (SEATTLE WA)
WA
10/15/2019 - 02/02/2024
SUMMIT TRAIL SECURITIES, LLC (Seattle WA)
WA
05/24/2019 - 09/09/2019
COLDSTREAM SECURITIES, INC. (BELLEVUE WA)
WA
09/14/2018 - 05/02/2019
RAYMOND JAMES & ASSOCIATES, INC. (Kirkland WA)
WA
05/16/2018 - 08/30/2018
ROBERT W. BAIRD & CO. INCORPORATED (Seattle WA)
NY
09/06/2016 - 04/24/2018
RAYMOND JAMES & ASSOCIATES, INC. (New York NY)
NY
06/20/2016 - 09/06/2016
DEUTSCHE BANK SECURITIES INC. (NEW YORK NY)
NY
09/11/2015 - 05/26/2016
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED (NEW YORK NY)
PA
08/08/2014 - 09/02/2015
DEUTSCHE BANK SECURITIES INC. (PHILADELPHIA PA)
PA
05/08/2014 - 07/23/2014
JANNEY MONTGOMERY SCOTT LLC (PHILADELPHIA PA)
PA
09/05/2013 - 04/15/2014
JANNEY MONTGOMERY SCOTT LLC (PHILADELPHIA PA)
NJ
03/08/2013 - 07/15/2013
NYLIFE DISTRIBUTORS LLC (PARSIPPANY NJ)
BOTH
Issued 03/14/2014
Series 66 - Uniform Combined State Law Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 11/26/2013
Series 7 - General Securities Representative Examination
BC
Issued 03/06/2013
Series 6 - Investment Company Products/Variable Contracts Representative Examination
Active
Inactive
C
Cboe BYX Exchange, Inc.
C
Cboe BZX Exchange, Inc.
C
Cboe Exchange, Inc.
F
FINRA
I
Investors' Exchange LLC
N
Nasdaq Stock Market
N
New York Stock Exchange
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