Carol Schulstad

Carol Schulstad Email and Phone Number

Compliance Principal Suitability, New Business , and Surveillance @ Advisory Services Network
Carol Schulstad's Location
Palm Beach Gardens, Florida, United States, United States
Carol Schulstad's Contact Details
About Carol Schulstad

Registered Principal Supervision of Advisory Services in Financial Planning, Managed Accounts for a multi state territory. Utilizes excellent problem-solving skills to mitigate risk in assigned territory. Take-charge business analyst with ability to assess situations and determine trending issues and solutions. Background encompasses the ability to establish and build positive, solid relationships with producers, and all levels of management and staff. Comprehensive knowledge of regulatory requirements. FIeld leadership experience in recruiting and training best practices. Specialties: Licensed Accredications include: MN Life/Health, Long Term Care, Variable Annuities, General Securities FINRA Series 7, Registered Principal Series 24, 66, 6, 63, 26 Past Present Associations: General Agency Management AssociationMember & Committee Member, Financial Planning Association, MN Founding Board Member of Women Insurance Financial ServicesNAIFA

Carol Schulstad's Current Company Details
Advisory Services Network

Advisory Services Network

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Compliance Principal Suitability, New Business , and Surveillance
Carol Schulstad Work Experience Details
  • Advisory Services Network
    Compliance Supervision
    Advisory Services Network Apr 2024 - Present
    Atlanta, Georgia, Us
  • Money Concepts
    Compliance Principal
    Money Concepts Nov 2022 - Apr 2024
    Palm Beach Gardens, Fl, Us
    Conduct new business suitability approvals, connect with financial professionals as may be necessary to support guidelines, and policies to mitigate risk. Conduct surveillances in advisor trading ahead, control persons, disclosures, and Money Concepts is not affiliated with LinkedIn, Inc. or the LinkedIn, Inc. service. MoneyConcepts does not expressly or implicitly adopt or endorse any of the expressions, opinions or content posted by fans or any third-parties on our LinkedIn page. Money Concepts does not control, serve, adopt or endorse any advertising, messages or content that LinkedIn may publish on it site or on the Money Concepts page. Money Concepts does not adopt or endorse any products, services, advertisements, recommendations or statements or any other content that may appear of LinkedIn or on other LinkedIn -affiliated sites. No part of this page is intended to make a recommendation or state a testimonial for or about a security, service orproduct, or to provide investment, tax or any other advice. This Page is intended for US persons only Any non-Money Concepts URLs or external websites mentioned on LinkedIn are unaffiliated with Money Concepts. Money Concepts has not been involved in the preparation of the content supplied at the unaffiliated sites and does not guarantee or assume any responsibility for itsContent. Third party marks appearing herein are the property of their respective owners. Guarantees are subject to the claims-paying ability of the issuing insurance company Please remember investing involves risks, and the value of your investment will fluctuate over time and you may gain or lose money. All Securities Offered Money Concepts Capital Corp. Member FINRA /SIPC© 1979-2010 Money Concepts International
  • Ameriprise Financial Services, Inc.
    Supervision Compliance Manager Registered Principal
    Ameriprise Financial Services, Inc. May 2010 - Nov 2022
    Minneapolis, Mn, Us
    Registered Principal Sales Supervision Manager Centralized Supervision Advice / Managed Accts Review Advisors ( clients) Financial Plans and Managed Account written advice for adherence to policy requirements, multi state region. Created curricula and schedule to onboard peer RPs. Directed, coordinated, supported subject matter experts on team for calibrations provided for team colleagues. Reviewed advice for recently termed advisors for potential client harm. Reversed fees as necessary. Assisted in developing brain shark content high fee complexity of advice. Led group calibrations of new type Managed Acct. reviews for colleagues. Offered efficiencies invalidating findings to ensure yr over yr reporting accuracy. LEAN Steering Comte Exceeded production & leadership goal standards year over year.
  • Fit Financial, Inc.
    General Agent/President
    Fit Financial, Inc. Jul 2008 - Mar 2010
    Responsibilities for agency growth, OSJ supervision.
  • Lincoln Financial Advisors
    Managing Principal
    Lincoln Financial Advisors Dec 2007 - Jul 2008
    Philadelphia, Pennsylvania, Us
    Provide management leadership for 25 Advisors. Perform audit functions at Advisor branch offices throughout state.
  • New England Financial
    Managing Associate
    New England Financial Feb 2005 - Dec 2007
    Boston, Ma, Us
    Led sales unit of 12 advisors while continuing to meet recruitng, productivity and sales unit goals. Developed, coordinated weekly sales training meeting, 1x1 weekly advisor/supervisor meetings. Annual compliance reviews of Advisors.
  • New York Life Insurance Company
    Partner
    New York Life Insurance Company May 1999 - Jan 2005
    New York, New York, Us
    Insurance Agent and Registered Representative. Grew clientele and serviced policy holders. Promoted to Partner, Sales Management to Recruit, Hire, Develop Agents, Registered Reps. Promoted two RRs to sales management. Successfully focused on diversity, women hiring practices.
  • Mn Cc
    Executive Director
    Mn Cc 1994 - 1997
    Director of Non-profit. Grew organization from start up to develop 32 chapters statewide, 5000 members. Issues based to raise awareness with people of traditional values via direct mail, phone and events. Influenced legislative process from grassroots organization to national efforts with voter education, voter guide distribution. Worked with elected official at all levels regarding non-profits intiatives. Lobbied for Contract with America. Authored and lobbied for Contract with Minnesota.
  • Coopers & Lybrand Consulting
    Edp Auditor
    Coopers & Lybrand Consulting Jan 1981 - Jan 1983
    Interfaced with clients to prep audit software environment for auditors

Carol Schulstad Skills

Insurance Long Term Care Series 7 Securities Financial Advisory Project Planning Financial Services Retirement Planning Fixed Annuities Retirement Estate Planning Wealth Management Strategic Planning Strategic Financial Planning Coaching Recruiting Training Start Ups Leadership Employee Benefits Finance Management Business Development Mutual Funds Financial Planners Investment Advisory Series 63

Carol Schulstad Education Details

  • Brown College
    Brown College
    Mulitple Programming Languages
  • Mounds View High School
    Mounds View High School
    General

Frequently Asked Questions about Carol Schulstad

What company does Carol Schulstad work for?

Carol Schulstad works for Advisory Services Network

What is Carol Schulstad's role at the current company?

Carol Schulstad's current role is Compliance Principal Suitability, New Business , and Surveillance.

What is Carol Schulstad's email address?

Carol Schulstad's email address is ca****@****hoo.com

What is Carol Schulstad's direct phone number?

Carol Schulstad's direct phone number is +165142*****

What schools did Carol Schulstad attend?

Carol Schulstad attended Brown College, Mounds View High School.

What are some of Carol Schulstad's interests?

Carol Schulstad has interest in Race For The Cure, Grace Church Choir And Missions, Career Crossroads, Christian Arts Ministries, Poverty Alleviation, Cam, Health.

What skills is Carol Schulstad known for?

Carol Schulstad has skills like Insurance, Long Term Care, Series 7, Securities, Financial Advisory, Project Planning, Financial Services, Retirement Planning, Fixed Annuities, Retirement, Estate Planning, Wealth Management.

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