Carole Duffey is a registered investment advisor at Stonex Advisors INC., based in Montgomery, AL, with 13 years of industry experience. Carole operates on a fee-only basis, meaning they do not earn commissions from product sales. Their practice areas include Charitable Giving, Education Planning, Estate Planning, Insurance Planning, and 2 more. Their firm serves 9,843 clients with $5.1B in assets under management.
Compensation
Firm Size
Number of Clients
Average Client Portfolio
Assets Under Management
Fee Structure
StoneX Advisors' investment management fees are negotiated between you and your financial advisor, with a maximum of 2% of your portfolio's value annually (1.5% for annuity allocations). There's a minimum annual fee of $200, or $300 for Unified Managed Accounts. Fees are typically deducted from your account quarterly or monthly in advance, but can be arranged in arrears. If you end the agreement early, you'll receive a refund for any unearned fees.
Location
7075 Halcyon Park Dr, Montgomery, AL, 36117
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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.
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Carole works as a financial advisor at River Bank & Trust, assisting bankers with customer investment needs. This occupies nearly all of Carole's time, with a small portion during market hours.
Employment History
Current Registrations
Stonex Securities INC.Broker
Stonex Advisors INC.
Previous Registrations
Osaic Institutions, INC.
Osaic Institutions, INC.Broker
New England SecuritiesBroker
Sterne, Agee & Leach, INC.Broker
State Registrations6 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.