Carole RaineyCRD Number: 1391189
Current Firm: Securities America Advisors, Inc.
Carole Rainey (CRD# 1391189) is an Investment Advisor Representative working at Securities America Advisors, Inc. in Saint Petersburg, FL and has over 22 years of experience in the finance industry.
Gavin Management Group, Inc.
The Financial Well, Inc.
Gator Capital Management, LLC
|Securities America Advisors||St. Petersburg, FL||Oct 2017 - Current||< 1|
|Securities America Inc.||St. Petersburg, FL||Oct 2017 - Current||< 1|
|National Planning Corporation||St. Pete Beach, FL||Jun 2006 - Oct 2017||11|
|Exam Code||Name||Passed Date|
|S63||Uniform Securities State Law Examination||Sep 1995|
|S65||NASAA Investment Advisors Law Examination||Nov 2001|
Financial Advisors are obligated to disclose any events that may influence their professional conduct or ability to advise their clients. Disclosure events are certain criminal matters, regulatory actions, civil judicial proceedings, customer complaints, arbitrations, or civil litigations, employment terminations, and financial matters in which the advisor has been involved. On the most recent filing submitted to FINRA, this advisor had a disclosure event.Reported Disclosure Event:
- Criminal Record
Total Assets Under Management15,610MILLIONS
Total Number of Accounts105,891ACCOUNTS
Average Account Value$147,418
- A percentage of assets under your management
- Hourly charges
- Fixed fees (other than subscription fees)
- Financial planning services
- Portfolio management for individuals and/or small businesses
- Portfolio management for businesses (other than small businesses) or institutional clients
- Pension consulting services
- Selection of other advisers (including private fund managers)
- Publication of periodicals or newsletters
- Educational seminars/workshops
AK, AL, AR, AZ, CA, CO, CT, DC, DE, FL, GA, HI, IA, ID, IL, IN, KS, KY, LA, MA, MD, ME, MI, MN, MO, MS, MT, NC, ND, NE, NH, NJ, NM, NV, NY, OH, OK, OR, PA, PR, RI, SC, SD, TN, TX, UT, VA, VI, VT, WA, WI, WV, WY