Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you Carroll? Claim Your ProfileCarroll Thomas Clark is a financial professional with over 40 years of experience in the financial services industry. Carroll has been registered with Ameriprise Financial Services, LLC since 2020 and previously worked with IDS LIFE INSURANCE COMPANY and IDS FINANCIAL SERVICES INC. Carroll is registered in 29 states and holds licenses for Series 6, 7, 22, 63, and 65 exams. Carroll provides financial planning, pension consulting, educational seminars, asset allocation services, publication of periodicals, selection of other advisers, and portfolio management for businesses and individuals.
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.
1
2
FL
01/11/2007 - Present
Ameriprise Financial Services, LLC (MIAMI FL)
MN
07/24/1981 - 07/03/2006
IDS LIFE INSURANCE COMPANY (MINNEAPOLIS MN)
NA
07/24/1981 - 12/24/1986
IDS FINANCIAL SERVICES INC.
IA
Issued 03/30/1995
Series 65 - Uniform Investment Adviser Law Examination
BC
Issued 07/02/1992
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 05/17/1986
Series 7 - General Securities Representative Examination
BC
Issued 04/09/1984
Series 22 - Direct Participation Programs Representative Examination
BC
Issued 07/22/1981
Series 6 - Investment Company Products/Variable Contracts Representative Examination
Active
Inactive
F
FINRA
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