AdFi

Browse financial advisors

Compare investment adviser representatives and registered brokers by experience and registrations — compiled from public SEC and FINRA records.

Showing 24 advisors (page 2+)
CA

Carol Ann Bowe

Florida·CRD #1884905
Dual-registered

Dual-registered at WEALTH ENHANCEMENT ADVISORY SERVICES, LLC

Experience
14 yrs
States
1
Exams
4
Since
2012
Est. fee
AUM / Hourly / Flat Fee / Other
View profile
CA

Carol Ann Bresnay

N/A·CRD #1222383
Dual-registered

Dual-registered at MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

Experience
26 yrs
Exams
4
Est. fee
AUM / Commission / Flat Fee
View profile
CA

Carol Anne Doyle

New York·CRD #4201501
Dual-registered

Dual-registered at RBC CAPITAL MARKETS, LLC

Experience
25 yrs
States
1
Exams
5
Since
2001
Est. fee
AUM / Flat Fee
View profile
CA

Carol Anne Mayhart

Pennsylvania·CRD #4267071
Dual-registered

Dual-registered at NATIONS FINANCIAL GROUP, INC.

Experience
21 yrs
States
2
Exams
3
Since
2005
Est. fee
AUM / Flat Fee
Minimum
$25k
View profile
CM

Carolanne M Chavanne

California·CRD #1767189
Dual-registered

Dual-registered at PROSPERITY WEALTH PLANNING LLC

Experience
31 yrs
States
2
Exams
3
Since
1995
Est. fee
AUM / Hourly / Flat Fee
Minimum
$1.0M
View profile
CA

Carol Ann Goetsch

Maryland·CRD #1528051
Dual-registered

Dual-registered at OAKWOOD CAPITAL, INC.

Experience
24 yrs
States
2
Exams
6
Since
2002
Fee
AUM / Hourly / Flat Fee / Other
Minimum
$25k
View profile
CA

Carol Ann Mammone Desimone

Connecticut·CRD #6028331
IA Rep

Investment Adviser Rep at ABBONDANDOLO WEALTH MANAGEMENT CORP

Experience
12 yrs
States
2
Exams
3
Since
2014
Est. fee
AUM
Minimum
$100k
View profile
CA

Carol Ann McBride

Missouri·CRD #1127081
Dual-registered

Dual-registered at MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

Experience
43 yrs
States
1
Exams
9
Since
1983
Est. fee
AUM / Commission / Flat Fee
View profile
CA

Carol Ann Schram

Nebraska·CRD #4622734
Dual-registered

Dual-registered at MUTUAL OF OMAHA INVESTOR SERVICES, INC.

Experience
23 yrs
States
1
Exams
10
Since
2003
Est. fee
AUM / Hourly / Flat Fee / Other
View profile
CA

Carol Ann Wilshire

California·CRD #2777356
Dual-registered

Dual-registered at RBC CAPITAL MARKETS, LLC

Experience
30 yrs
States
2
Exams
4
Since
1996
Est. fee
AUM / Flat Fee
View profile
CA

Carol A Sandlin

Texas·CRD #6329480
Dual-registered

Dual-registered at MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

Experience
11 yrs
States
1
Exams
3
Since
2015
Est. fee
AUM / Commission / Flat Fee
View profile
CA

Carol A Underwood

California·CRD #5800059
Dual-registered

Dual-registered at OSAIC WEALTH, INC.

Experience
16 yrs
States
1
Exams
5
Since
2010
Est. fee
AUM / Hourly / Flat Fee
Minimum
$6k
View profile
CB

Carol B Mayer

Pennsylvania·CRD #2017724
Dual-registered

Dual-registered at OSAIC INSTITUTIONS, INC.

Experience
25 yrs
States
1
Exams
5
Since
2001
Est. fee
AUM / Hourly / Flat Fee
Minimum
$6k
View profile
CB

Carol Brundieck

Minnesota·CRD #2980713
Dual-registered

Dual-registered at RBC CAPITAL MARKETS, LLC

Experience
26 yrs
States
2
Exams
6
Since
2000
Est. fee
AUM / Flat Fee
View profile
CB

Carol Butler Holm

Arizona·CRD #1178157
IA Rep

Investment Adviser Rep at CENTAURUS FINANCIAL, INC.

Experience
43 yrs
States
3
Exams
5
Since
1983
Est. fee
AUM / Hourly / Flat Fee
Minimum
$25k
View profile
CC

Carol Clements McLawhorn

North Carolina·CRD #1632529
Dual-registered

Dual-registered at MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

Experience
23 yrs
States
3
Exams
6
Since
2003
Est. fee
AUM / Commission / Flat Fee
View profile
CA

Carole A Burns

Ohio·CRD #4300455
Dual-registered

Dual-registered at MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

Experience
24 yrs
States
1
Exams
7
Since
2002
Est. fee
AUM / Commission / Flat Fee
View profile
CA

Carole Ameila Rainey

Florida·CRD #1391189
Dual-registered

Dual-registered at OSAIC WEALTH, INC.

Experience
39 yrs
States
1
Exams
4
Since
1987
Est. fee
AUM / Hourly / Flat Fee
Minimum
$6k
View profile
CB

Carole Bauman

Florida·CRD #6098535
Dual-registered

Dual-registered at MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

Experience
14 yrs
States
2
Exams
3
Since
2012
Est. fee
AUM / Commission / Flat Fee
View profile
CE

Carol E Brian

Florida·CRD #5426617
IA Rep

Investment Adviser Rep at HORNOR, TOWNSEND & KENT, LLC

Experience
19 yrs
States
2
Exams
3
Since
2007
Est. fee
AUM / Hourly / Flat Fee / Other
View profile
CB

Carole Browne

Pennsylvania·CRD #1715863
IA Rep

Investment Adviser Rep at WEALTHSPIRE RETIREMENT ADVISORY

Experience
14 yrs
States
1
Exams
4
Since
2012
Est. fee
AUM / Hourly / Flat Fee
Minimum
$25k
View profile
CE

Carole E Amsbury

Texas·CRD #5351122
Dual-registered

Dual-registered at MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

Experience
19 yrs
States
2
Exams
3
Since
2007
Est. fee
AUM / Commission / Flat Fee
View profile
CH

Carole Helene McNichol

Georgia·CRD #1554877
Dual-registered

Dual-registered at OSAIC WEALTH, INC.

Experience
39 yrs
States
2
Exams
5
Since
1987
Est. fee
AUM / Hourly / Flat Fee
Minimum
$6k
View profile
CJ

Carole Jacquelyn Zlebis

Texas·CRD #6016229
Dual-registered

Dual-registered at OSAIC WEALTH, INC.

Experience
3 yrs
States
1
Exams
3
Since
2023
Est. fee
AUM / Hourly / Flat Fee
Minimum
$6k
View profile

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Disclaimer

This directory contains publicly available information from SEC IAPD (Investment Adviser Public Disclosure) and FINRA BrokerCheck. The information is provided for informational purposes only and does not constitute a recommendation or endorsement. Please conduct your own due diligence and consult with a qualified professional before making any investment decisions.

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