Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you Richard? Claim Your ProfileRichard Alan Carroll is a financial professional with over 20 years of experience in the industry. He is currently registered with Allstate Financial Services, LLC in Raleigh, NC. Richard has previously held positions at MML Investors Services, LLC and Wachovia Securities, Inc. Richard holds Series 6, Series 63, and SIE licenses. Richard is registered in Florida, Maryland, North Carolina, and Virginia.
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.
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2
NC
11/20/2017 - Present
Allstate Financial Services, LLC (Raleigh NC)
DE
07/01/2003 - 11/20/2017
MML INVESTORS SERVICES, LLC (NEW CASTLE DE)
MO
01/16/2002 - 05/21/2003
WACHOVIA SECURITIES, INC. (ST. LOUIS MO)
BC
Issued 01/18/2002
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 01/15/2002
Series 6 - Investment Company Products/Variable Contracts Representative Examination
Active
Inactive
F
FINRA
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