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Carol Heil

Raymond James & Associates, INC.
29 Years of Experience
Louisville, KY
1 DisclosureBroker
View SEC Summary
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Carol Heil is a registered investment advisor at Raymond James & Associates, INC., based in Louisville, KY, with 29 years of industry experience. Carol is also registered as a broker, so some compensation may come from commissions on products sold. Their practice areas include Education Planning, Estate Planning, Financial Planning & Coaching, Insurance Planning, and 3 more. Their firm serves 531,617 clients with $500B in assets under management.

Raymond James & Associates, INC.
Compensation
Commission-BasedFee-Only (% of Portfolio)Fixed/Hourly
Firm Size
5819 advisors
Number of Clients
531,617 clients
Average Client Portfolio
$942K average
Assets Under Management
$501.0B

Fee Structure

Minimum Investment:None
Planning is included in investment management (also available separately)
Portfolio-Based Fees (Flat)
Portfolio ValueAnnual Fee
Any2.25%

Fees are not to exceed an annual rate of 2.25% of the value of assets on which investment consulting services are provided. Specific fee schedules for wrap fee programs and managed accounts are detailed in the separate Wrap Fee Program Brochure.

Fee Estimator
Your Portfolio Value
$500K
$0$500K$1M$5M$20M
Estimated Annual Fee
—
View Full SEC Brochure

Location

4969 Us Hwy 42, Suite 1600, Louisville, KY, 40222

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History

Regulatory History (1)
What are disclosures? Advisors must report customer complaints, regulatory actions, and certain legal or financial events to the SEC. Not all disclosures are serious—many are settled disputes or minor violations. Learn how to evaluate them.
Customer Dispute
February 2001
Settled
View Full SEC ReportHow to Read Disclosures
Other Business Activities

Carol is a committee member at Southeast Christian Church, serving on the investment committee since June 2023. She spends minimal time on this activity, providing general overviews of market conditions and asset allocation ideas for pension funds.

Employment History
Current Registrations
Raymond James & Associates, INC.
September 2024 - Present · 2 yrs 1 mo
Raymond James & Associates, INC.Broker
September 2024 - Present · 2 yrs 1 mo
Previous Registrations
Merrill Lynch, Pierce, Fenner & Smith Incorporated
December 1996 - September 2024 · 27 yrs 9 mos
Merrill Lynch, Pierce, Fenner & Smith IncorporatedBroker
December 1996 - September 2024 · 27 yrs 9 mos
State Registrations27 states
AZCACOCTDEFLGAIDILINKSKYMAMEMIMONCNHNJNYOHORPASCTNTXVA
AdvisorBrokerBoth

You can work with an advisor not registered in your state. Most advisors can legally serve a small number of clients across state lines without registering.

Exams
No exam information available for this advisor.
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