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This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you Carrie? Claim Your ProfileCarrie Jo Exley is an Investment Advisor Representative with Ameriprise Financial Services, LLC. Carrie has been working in the financial services industry since 2002 and holds Series 6, 7, 63, 66, 26, and SIE licenses. Carrie is also a registered Investment Advisor Representative in Minnesota and Texas. Carrie's previous employment includes positions with WELLS FARGO CLEARING SERVICES, LLC, ASSOCIATED INVESTMENT SERVICES, INC., TRANSAMERICA CAPITAL, INC., U.S. BANCORP INVESTMENTS, INC., and WACHOVIA SECURITIES, INC. Carrie provides financial planning, asset allocation services, and portfolio management for individuals and businesses.
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.
Asset allocation services
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.
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2
MN
06/05/2020 - Present
Ameriprise Financial Services, LLC (ROCHESTER MN)
MN
05/29/2014 - 06/09/2020
WELLS FARGO CLEARING SERVICES, LLC (ALBERT LEA MN)
MN
05/23/2012 - 06/13/2014
ASSOCIATED INVESTMENT SERVICES, INC. (RED WING MN)
MN
07/27/2006 - 09/01/2006
TRANSAMERICA CAPITAL, INC. (MINNEAPOLIS MN)
MN
02/03/2003 - 06/30/2006
U.S. BANCORP INVESTMENTS, INC. (SAINT PAUL MN)
MO
05/07/2002 - 02/06/2003
WACHOVIA SECURITIES, INC. (ST. LOUIS MO)
BOTH
Issued 05/24/2012
Series 66 - Uniform Combined State Law Examination
BC
Issued 05/09/2002
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 10/18/2004
Series 26 - Investment Company Products/Variable Contracts Principal Examination
BC
Issued 01/02/2023
Series 6TO - Investment Company Products/Variable Contracts Representative Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 05/22/2012
Series 7 - General Securities Representative Examination
BC
Issued 05/06/2002
Series 6 - Investment Company Products/Variable Contracts Representative Examination
Active
Inactive
F
FINRA
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