Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you Carroll? Claim Your ProfileCarroll Klotz is a financial advisor at Stifel Independent Advisors, LLC, a firm with offices in St. Louis, Missouri. Carroll has been working in the financial services industry since 1997 and has extensive experience in providing financial advice and portfolio management services to individuals, businesses, and charitable organizations.
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.
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IL
01/17/2024 - Present
Stifel Independent Advisors, LLC (JOLIET IL)
IL
09/28/2018 - 01/31/2024
LPL FINANCIAL LLC (JOLIET IL)
IL
06/21/2013 - 09/28/2018
WINTRUST INVESTMENTS LLC (JOLIET IL)
IL
05/02/2005 - 07/19/2013
STOFAN, AGAZZI & COMPANY, INC. (JOLIET IL)
NY
10/29/2001 - 05/03/2005
CITICORP INVESTMENT SERVICES (LONG ISLAND CITY NY)
MO
08/21/2001 - 10/17/2001
A. G. EDWARDS & SONS, INC. (ST. LOUIS MO)
WI
10/27/1998 - 08/22/2001
INVEST FINANCIAL CORPORATION (APPLETON WI)
IL
03/03/1998 - 11/02/1998
TERRA SECURITIES CORPORATION (SCHAUMBURG IL)
MN
12/15/1997 - 02/25/1998
AMERICAN EXPRESS FINANCIAL ADVISORS INC. (MINNEAPOLIS MN)
MN
12/15/1997 - 02/25/1998
IDS LIFE INSURANCE COMPANY (MINNEAPOLIS MN)
IA
Issued 06/28/2018
Series 65 - Uniform Investment Adviser Law Examination
BC
Issued 11/08/1997
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 12/11/1997
Series 7 - General Securities Representative Examination
Active
Inactive
F
FINRA
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