Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you Carrie? Claim Your ProfileCarrie Groszek is a financial advisor with RBC Capital Markets, LLC. Carrie has been in the industry since 1994. Carrie is licensed in several states and has a wide range of experience, including financial planning, portfolio management, and pension consulting. Carrie also previously worked at DAIN RAUSCHER INCORPORATED, H.J. MEYERS & CO., INC., and CHATFIELD DEAN & CO., 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.
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.
Service public & private employee benefit plans, endowment funds, foundations, family trusts & various capital/operating funds
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.
1
2
IL
02/05/2015 - Present
RBC Capital Markets, LLC (OAKBROOK TERRACE IL)
NA
05/01/1996 - 03/02/1998
DAIN RAUSCHER INCORPORATED
NY
02/24/1995 - 12/17/1995
H.J. MEYERS & CO., INC. (ROCHESTER NY)
CO
06/16/1994 - 03/08/1995
CHATFIELD DEAN & CO., INC. (GREENWOOD VILLAGE CO)
BOTH
Issued 10/10/2008
Series 66 - Uniform Combined State Law Examination
BC
Issued 06/22/1994
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 03/16/2005
Series 10 - General Securities Sales Supervisor - General Module Examination
BC
Issued 01/05/2005
Series 9 - General Securities Sales Supervisor - Options Module Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 09/07/2010
Series 31 - Futures Managed Funds Examination
BC
Issued 06/15/1994
Series 7 - General Securities Representative Examination
Active
Inactive
B
BOX Exchange LLC
C
Cboe BYX Exchange, Inc.
C
Cboe BZX Exchange, Inc.
C
Cboe C2 Exchange, Inc.
C
Cboe EDGA Exchange, Inc.
C
Cboe EDGX Exchange, Inc.
C
Cboe Exchange, Inc.
F
FINRA
I
Investors' Exchange LLC
L
Long-Term Stock Exchange, Inc.
M
MEMX LLC
M
MIAX PEARL, LLC
N
NYSE American LLC
N
NYSE Arca, Inc.
N
NYSE Chicago, Inc.
N
NYSE National, Inc.
N
Nasdaq BX, Inc.
N
Nasdaq GEMX, LLC
N
Nasdaq ISE, LLC
N
Nasdaq PHLX LLC
N
Nasdaq Stock Market
N
New York Stock Exchange
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