Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you Richard? Claim Your ProfileRichard Stanley Carroll is a financial advisor with Tiaa-Cref Individual & Institutional Services, LLC. Richard Carroll has been working in the financial services industry since 2019. Richard Stanley Carroll holds licenses for securities and investment advisory services, including the Series 7TO, Series 66, and SIE exams.
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.
Helps you choose top advisors aligned with your financial goals.
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.
A percentage of the total value of assets under management is charged.
Compensation from affiliates
1
2
VA
10/10/2024 - Present
Tiaa-Cref Individual & Institutional Services, LLC (CHARLOTTESVILLE VA)
BOTH
Issued 05/28/2020
Series 66 - Uniform Combined State Law Examination
BC
Issued 12/30/2019
Series 7TO - General Securities Representative Examination
BC
Issued 09/24/2019
SIE - Securities Industry Essentials Examination
Active
Inactive
F
FINRA
N
NYSE American LLC
N
Nasdaq Stock Market
N
New York Stock Exchange
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