Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you Christopher? Claim Your ProfileChristopher Carbone is a financial advisor with over 35 years of experience in the financial services industry. Currently, Christopher is registered with Wells Fargo Clearing Services, LLC, a large financial institution. Christopher holds several industry certifications, including the Series 7, 6, 22, 63, and 65. Christopher is also a Certified Financial Planner. Christopher specializes in portfolio management for individuals and businesses, financial planning and investment consulting for institutional clients.
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.
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.
Investment consulting services to institutional clients
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
NY
07/02/2014 - Present
Wells Fargo Clearing Services, LLC (CLINTON NY)
NY
03/09/2002 - 07/17/2014
RBC CAPITAL MARKETS, LLC (NEW HARTFORD NY)
MA
02/09/1993 - 03/09/2002
TUCKER ANTHONY INCORPORATED (BOSTON MA)
MA
10/13/1986 - 03/01/1993
JOHN HANCOCK DISTRIBUTORS, INC. (BOSTON MA)
MA
10/13/1986 - 03/01/1993
JOHN HANCOCK MUTUAL LIFE INSURANCE COMPANY (BOSTON MA)
IA
Issued 08/22/1995
Series 65 - Uniform Investment Adviser Law Examination
BC
Issued 11/03/1986
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 01/02/2023
Series 9 - General Securities Sales Supervisor - Options Module Examination
BC
Issued 01/02/2023
Series 10 - General Securities Sales Supervisor - General Module Examination
BC
Issued 03/04/1997
Series 8 - General Securities Sales Supervisor Examination (Options Module & General Module)
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 12/17/1988
Series 7 - General Securities Representative Examination
BC
Issued 05/27/1988
Series 22 - Direct Participation Programs Representative Examination
BC
Issued 10/09/1986
Series 6 - Investment Company Products/Variable Contracts Representative Examination
Active
Inactive
C
Cboe Exchange, Inc.
F
FINRA
N
NYSE American LLC
N
Nasdaq PHLX LLC
N
Nasdaq Stock Market
N
New York Stock Exchange
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