Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you Edward? Claim Your ProfileEdward Emmett Carroll is a financial advisor with over 25 years of experience in the industry. Edward Emmett Carroll is currently registered with Raymond James & Associates, Inc. and has previously been registered with Waddell & Reed, Morgan Stanley, UBS Financial Services Inc., and Robert Fleming Inc. Edward Emmett Carroll is a Series 7, 9, 10, 24, 63, and 66 licensed advisor with a diverse background in providing financial advice. Edward Emmett Carroll also holds a Series 3 and SIE license. Edward Emmett Carroll specializes in providing financial planning, pension consulting, educational seminars, selection of other advisors, portfolio management for businesses, and portfolio management for individuals. Edward Emmett Carroll is also a business owner of Dynasty Holdings LLC, a volleyball gym in Kansas City, KS.
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.
Please see note in schedule d - miscellaneous
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
KS
09/27/2021 - Present
Raymond James & Associates, Inc. (Leawood KS)
KS
08/15/2013 - 08/23/2021
WADDELL & REED (OVERLAND PARK KS)
KS
05/05/2010 - 05/29/2013
MORGAN STANLEY (WICHITA KS)
MO
07/16/1996 - 04/15/2010
UBS FINANCIAL SERVICES INC. (KANSAS CITY MO)
NY
12/05/1989 - 01/10/1992
ROBERT FLEMING INC. (NEW YORK NY)
BOTH
Issued 10/28/2004
Series 66 - Uniform Combined State Law Examination
BC
Issued 12/02/1999
Series 63 - Uniform Securities Agent State Law Examination
IA
Issued 08/13/1999
Series 65 - Uniform Investment Adviser 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 12/30/2013
Series 24 - General Securities Principal Examination
BC
Issued 07/25/1997
Series 8 - General Securities Sales Supervisor Examination (Options Module & General Module)
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 10/18/2002
Series 3 - National Commodity Futures Examination
BC
Issued 07/15/1996
Series 7 - General Securities Representative Examination
Active
Inactive
F
FINRA
N
NYSE American LLC
N
Nasdaq PHLX LLC
N
Nasdaq Stock Market
N
New York Stock Exchange
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