Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you Mallory? Claim Your ProfileMallory Caravia is a financial advisor with Wells Fargo Advisors Financial Network, LLC in FORT LAUDERDALE, FL. Mallory has been in the industry since 2011 and has experience with UBS FINANCIAL SERVICES INC. and WELLS FARGO ADVISORS FINANCIAL NETWORK, LLC. Mallory is registered with the state of Florida as an investment advisor and is also registered with FINRA.
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.
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2
FL
08/13/2019 - Present
Wells Fargo Advisors Financial Network, LLC (FORT LAUDERDALE FL)
CA
12/11/2018 - 08/23/2019
UBS FINANCIAL SERVICES INC. (NEWPORT BEACH CA)
FL
04/27/2015 - 07/23/2018
WELLS FARGO ADVISORS FINANCIAL NETWORK, LLC (FORT LAUDERDALE FL)
FL
04/07/2014 - 05/04/2015
UBS FINANCIAL SERVICES INC. (MIAMI FL)
FL
10/04/2012 - 04/07/2014
WELLS FARGO ADVISORS FINANCIAL NETWORK, LLC (FORT LAUDERDALE FL)
FL
06/07/2011 - 10/15/2012
UBS FINANCIAL SERVICES INC. (FT. LAUDERDALE FL)
BOTH
Issued 08/01/2011
Series 66 - Uniform Combined State Law Examination
BC
Issued 04/28/2014
Series 10 - General Securities Sales Supervisor - General Module Examination
BC
Issued 04/12/2014
Series 9 - General Securities Sales Supervisor - Options Module Examination
BC
Issued 07/23/2018
SIE - Securities Industry Essentials Examination
BC
Issued 06/06/2011
Series 7 - General Securities Representative Examination
Active
Inactive
F
FINRA
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