Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you Floyd? Claim Your ProfileFloyd Joseph Carl is a financial professional with over 30 years of experience in the financial services industry. Floyd is currently registered with Stifel, Nicolaus & Company, Inc., and is a registered representative in multiple states. He has experience in portfolio management for both individuals and businesses, and is also a financial planner. Prior to joining Stifel, Floyd worked at several other firms including Bainbridge Securities Inc., First Union Securities, Inc., First Union Capital Markets Corp., Fahnestock & Co., Inc., W.H. Newbold's Son & Co., Inc., and Merrill Lynch, Pierce, Fenner & Smith Incorporated.
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.
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
PA
10/22/2009 - Present
Stifel, Nicolaus & Company, Inc. (YARDLEY PA)
PA
03/04/2002 - 02/19/2009
BAINBRIDGE SECURITIES INC. (YARDLEY PA)
MO
10/01/1999 - 03/11/2002
FIRST UNION SECURITIES, INC. (ST. LOUIS MO)
NC
07/27/1995 - 10/01/1999
FIRST UNION CAPITAL MARKETS CORP. (CHARLOTTE NC)
NY
01/02/1992 - 08/07/1995
FAHNESTOCK & CO., INC. (NEW YORK NY)
NA
05/18/1988 - 12/31/1991
W.H. NEWBOLD'S SON & CO., INC.
NA
03/20/1987 - 06/02/1988
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
IA
Issued 07/12/2007
Series 65 - Uniform Investment Adviser Law Examination
BC
Issued 03/03/1987
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 02/21/1987
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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