Carolyn Finer is a CFA-designated registered investment advisor at RBC Securities, INC., based in New York, NY, with 20 years of industry experience. Carolyn operates on a fee-only basis, meaning they do not earn commissions from product sales. Their practice areas include Investment Management. Their firm serves 1,451 clients with $1.5B in assets under management.
Compensation
Firm Size
Number of Clients
Average Client Portfolio
Assets Under Management
Fee Structure
RBC Securities offers a wrap fee program where you pay a single bundled fee that covers portfolio management, transaction costs, and custodial services. The fee is based on the market value of your account.
For Moderate Growth & Income, Growth & Income, Capital Growth, and Aggressive Capital Growth strategies:
- 1.25% annually on the first $1,000,000
- 1.00% annually on assets over $1,000,000
For Diversified Fixed Income and Conservative Growth & Income strategies:
- 0.80% annually on the first $1,000,000
- 0.65% annually on assets over $1,000,000
There is a $500 minimum annual fee. These fees are negotiable in certain circumstances.
Location
400 Park Avenue,, 8th Floor, New York, NY, 10022
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Regulatory History
No disclosures, customer disputes, or regulatory actions on file.
Disclosures include customer complaints, regulatory actions, and other events that advisors must report to the SEC. A clean record means none have been reported.
Learn about disclosures →Employment History
Current Registrations
RBC Securities, INC.
RBC Securities, INC
RBC Securities, INCBroker
Previous Registrations
Cnr Securities, LLCBroker
City National Rochdale
UBS Financial Services INC.
UBS Financial Services INC.Broker
J.P. Morgan Securities INC.Broker
J.P. Morgan Securities INC.Broker
J. P. Morgan Advisors, INC.Broker
J.P. Morgan Securities INC.Broker
State Registrations16 states
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.