Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you Dorothy? Claim Your ProfileDorothy Marie Carroll is a financial advisor with State Street Global Advisors Funds Distributors, LLC. She is registered with the Financial Industry Regulatory Authority (FINRA) and holds the Series 7TO, Series 63, and SIE licenses. Dorothy has been in the industry for a short time, starting in August 2023. Her current employer, State Street Global Advisors Funds Distributors, LLC, is a registered investment advisor.
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.
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.
1
2
MA
08/10/2023 - Present
State Street Global Advisors Funds Distributors, LLC (BOSTON MA)
BC
Issued 08/24/2023
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 08/10/2023
Series 7TO - General Securities Representative Examination
BC
Issued 07/14/2023
SIE - Securities Industry Essentials Examination
Active
Inactive
F
FINRA
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