Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you Karen? Claim Your ProfileKaren Patrice Carroll is a financial advisor with over 30 years of experience in the industry. Karen is currently registered with Herbert J. Sims & CO, Inc. and is located in Boca Raton, Florida. Her previous experience includes positions at HAMERSHLAG, KEMPNER, DODELES, & CO., LLC, M. J. FRIEDLANDER CO., INC., L. F. ROTHSCHILD, UNTERBERG, TOWBIN, INC., and MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED. Karen holds FINRA Series 7, 9, 10, 63, and SIE licenses and is registered in Florida.
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
FL
10/24/2003 - Present
Herbert J. Sims & CO, Inc. (BOCA RATON FL)
NY
04/22/1988 - 08/28/2002
HAMERSHLAG, KEMPNER, DODELES, & CO., LLC (NEW YORK NY)
NA
09/22/1987 - 03/28/1988
M. J. FRIEDLANDER CO., INC.
NA
03/19/1986 - 05/14/1987
L. F. ROTHSCHILD, UNTERBERG, TOWBIN, INC.
NA
11/19/1985 - 03/03/1986
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
BC
Issued 04/08/1986
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 04/24/2000
Series 10 - General Securities Sales Supervisor - General Module Examination
BC
Issued 03/15/2000
Series 9 - General Securities Sales Supervisor - Options Module Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 11/16/1985
Series 7 - General Securities Representative Examination
Active
Inactive
F
FINRA
Not sure Karen Carroll is the right advisor for you? Invested Better is here to help.
