Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you Carroll? Claim Your ProfileCarroll Edward Mullis is a financial advisor registered with UBS Financial Services Inc. Carroll has been in the industry since June 24, 2008. Carroll is currently registered with the state of Georgia and Texas and has a Series 63, Series 65, Series 7 and SIE license. Carroll has been a registered representative with Oppenheimer & Co. Inc. and Stanford Group Company previously. Carroll is a Chartered Financial Analyst.
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.
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.
See schedule d - miscellaneous
1
2
GA
01/10/2022 - Present
UBS Financial Services Inc. (ATLANTA GA)
GA
03/17/2009 - 01/22/2016
OPPENHEIMER & CO. INC. (ATLANTA GA)
GA
06/25/2008 - 03/16/2009
STANFORD GROUP COMPANY (ATLANTA GA)
IA
Issued 07/23/2009
Series 65 - Uniform Investment Adviser Law Examination
BC
Issued 07/10/2008
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 06/24/2008
Series 7 - General Securities Representative Examination
Active
Inactive
B
BOX Exchange LLC
C
Cboe Exchange, Inc.
F
FINRA
N
NYSE American LLC
N
NYSE Arca, Inc.
N
NYSE Chicago, Inc.
N
Nasdaq ISE, LLC
N
Nasdaq PHLX LLC
N
Nasdaq Stock Market
N
New York Stock Exchange
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