Carol Frances Guidry
Investment adviser representative at UBS Financial Services Inc.
21 yearsExperience
1 stateRegistered in
$915.8BFirm assets
55 yearsFirm in business
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How the firm charges
Fee types in the public filing. This advisor may not use all of them.
Percentage of assetsHourlyFixed or flat feeCommissionsOther
Services the firm offers
These describe the firm as a whole, not only this advisor.
- Financial planning
- Portfolio management
- Pension consulting
- Seminars and workshops
Experience
21 years in the industry.
- UBS Financial Services Inc.May 2024 to now
- Truist Advisory Services, Inc.Dec 2022 to May 2024
- Truist Investment Services,inc.Jul 2022 to May 2024
- TruistJun 2021 to Aug 2021
- University of GeorgiaAug 2018 to May 2022
- Metairie Park County DayApr 2017 to Jul 2019
- Metairie Park Country DayAug 2005 to May 2018
Exams passed
- Series 63 · Uniform Securities Agent State Law2022
- Series 65 · Uniform Investment Adviser Law2022
State registrations
Registered as an investment adviser representative in 1 state (NC).
UBS Financial Services Inc.
$915.8BAssets managed
1,144,588Clients
9,366Advisers
55 yearsIn business
Official records
SEC data as of Sep 29, 2026. Registrations and firm details can change; confirm current status on the SEC's Investment Adviser Public Disclosure (opens in a new tab) site.
- Individual CRD
- 7396897
- Firm CRD
- 8174