Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you Carrie? Claim Your ProfileCarrie Kline is a financial advisor with Wells Fargo Clearing Services, LLC, Carrie has over 25 years of experience in the financial industry and holds a variety of licenses and certifications. Carrie specializes in providing investment advice to individuals, corporations, and charitable organizations. Carrie's prior work experience includes roles at Southwest Securities, Inc., and Ameritrade, Inc.
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.
Investment consulting services to institutional clients
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
TX
10/24/2016 - Present
Wells Fargo Clearing Services, LLC (GEORGETOWN TX)
TX
02/28/2005 - 10/03/2013
SOUTHWEST SECURITIES, INC. (GEORGETOWN TX)
NE
03/02/2004 - 03/07/2005
AMERITRADE, INC. (OMAHA NE)
TX
05/29/1996 - 03/05/2003
SOUTHWEST SECURITIES, INC. (DALLAS TX)
BOTH
Issued 10/24/2016
Series 66 - Uniform Combined State Law Examination
BC
Issued 03/12/2004
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 06/07/2006
Series 10 - General Securities Sales Supervisor - General Module Examination
BC
Issued 06/01/2006
Series 9 - General Securities Sales Supervisor - Options Module Examination
BC
Issued 01/02/2023
Series 57TO - Securities Trader Exam
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 02/12/2000
Series 55 - Limited Representative-Equity Trader Exam
BC
Issued 04/23/1996
Series 7 - General Securities Representative Examination
BC
Issued 08/25/1993
Series 3 - National Commodity Futures Examination
Active
Inactive
C
Cboe Exchange, Inc.
F
FINRA
N
NYSE American LLC
N
Nasdaq PHLX LLC
N
Nasdaq Stock Market
N
New York Stock Exchange
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