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This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you Theodore? Claim Your ProfileTheodore William Carol is a financial advisor who has been active in the industry since 1995. Theodore is currently registered with Raymond James Financial Services Advisors, Inc. and has been with them since 2009. Theodore's previous employment includes M&T Securities, Inc., BANC OF AMERICA INVESTMENT SERVICES, INC., ALLFIRST BROKERAGE CORPORATION, IFMG SECURITIES, INC., FIRST UNION SECURITIES, INC., FIRST UNION BROKERAGE SERVICES, INC., and DEAN WITTER REYNOLDS INC. Theodore William Carol specializes in providing financial planning, pension consulting, educational seminars, and selection of other advisers. Theodore William Carol is a licensed agent and registered representative with the state of Pennsylvania.
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.
Hourly & fixed rate consultations
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.
Per participant (erisa)
1
2
PA
01/02/2009 - Present
Raymond James Financial Services Advisors, Inc. (DENVER PA)
PA
11/03/2006 - 08/15/2008
M&T SECURITIES, INC. (NEW HOLLAND PA)
PA
04/28/2006 - 11/03/2006
BANC OF AMERICA INVESTMENT SERVICES, INC. (BLUE BELL PA)
PA
05/01/2003 - 05/01/2006
M&T SECURITIES, INC. (ELIZABETHTOWN PA)
MD
03/14/2003 - 05/01/2003
ALLFIRST BROKERAGE CORPORATION (BALTIMORE MD)
NY
07/13/2001 - 03/11/2003
IFMG SECURITIES, INC. (PURCHASE NY)
MO
10/01/2000 - 07/13/2001
FIRST UNION SECURITIES, INC. (ST. LOUIS MO)
NC
11/29/1999 - 10/01/2000
FIRST UNION BROKERAGE SERVICES, INC. (CHARLOTTE NC)
NY
04/25/1995 - 11/12/1999
DEAN WITTER REYNOLDS INC. (PURCHASE NY)
IA
Issued 08/14/2006
Series 65 - Uniform Investment Adviser Law Examination
BC
Issued 05/02/1995
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 05/07/2004
Series 26 - Investment Company Products/Variable Contracts Principal Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 05/10/1995
Series 31 - Futures Managed Funds Examination
BC
Issued 04/24/1995
Series 7 - General Securities Representative Examination
Active
Inactive
F
FINRA
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