Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you Carroll? Claim Your ProfileCarroll Baker is an investment advisor representative with Merrill Lynch, Pierce, Fenner & Smith Inc. located in NAPLES, Florida. Carroll is a registered representative with both FINRA and the states of Florida and Texas. Carroll has over 10 years of experience in the financial services industry, having worked with a variety of firms including EDWARD JONES, UBS FINANCIAL SERVICES INC., MORGAN KEEGAN & COMPANY, INC., and BANC OF AMERICA INVESTMENT SERVICES, 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.
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.
Performance measurement reports, allocation modeling, ips, research reports and services, see schedule d
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
FL
03/21/2013 - Present
Merrill Lynch, Pierce, Fenner & Smith Inc. (NAPLES FL)
NC
08/08/2012 - 12/17/2012
EDWARD JONES (ASHEVILLE NC)
NC
10/14/2010 - 01/31/2011
UBS FINANCIAL SERVICES INC. (WINSTON-SALEM NC)
FL
04/21/2009 - 07/13/2010
MORGAN KEEGAN & COMPANY, INC. (NAPLES FL)
FL
02/09/2006 - 04/22/2009
BANC OF AMERICA INVESTMENT SERVICES, INC. (NAPLES FL)
BOTH
Issued 03/05/2013
Series 66 - Uniform Combined State Law Examination
BC
Issued 12/13/2005
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 04/03/2007
Series 7 - General Securities Representative Examination
BC
Issued 12/19/2005
Series 6 - Investment Company Products/Variable Contracts Representative Examination
Active
Inactive
C
Cboe BYX Exchange, Inc.
C
Cboe BZX Exchange, Inc.
C
Cboe Exchange, Inc.
F
FINRA
I
Investors' Exchange LLC
N
Nasdaq Stock Market
N
New York Stock Exchange
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