About Us
Carol received a BS degree from Northwestern University in Evanston, Illinois and did postgraduate work in linguistics and in law. She has been in the securities business since 1976 when she went to work as a broker for E.F. Hutton. In 1982 she moved to Prudential Securities where she served as a broker and then Branch Manager. In 1991 she moved to Principal Securities where she also served as Branch Manager. She holds series 24, 4, 5, 53, 63, 65 and 7 securities licenses. In 1997 Carol opened New Mexico Investment Advisors, an independent Registered Investment Advisor. She currently manages securities portfolios for individuals, small businesses and non-profit organizations. Carol often appears in the local media and has done a weekly radio stock market report since 1999. She has served on a committee for the state securities regulators (the North American Securities Administrators Association) where she has been asked to write questions for the national investment advisor examination. Carol has served on the boards of the New Mexico Arts and Crafts Fair, the Old Town Merchants’ Association and New Mexico Voices for Children.
Claudia joined Carol in the spring of 2005 as her Administrative Assistant. Having worked in the luxury automotive market as Finance Manager and in a Long Term Care Facility as HR Director she brings with her a unique mix of attention to detail, but also a strong sense of a more personal client-firm relationship style which is sometimes pushed aside in today’s technology driven business environment. Away from the office Claudia, along side her husband Chris, enjoys working and training dogs. Together they have titled several different breeds with AKC, UKC, ASCA and AHBA in Obedience, Rally and Herding. Claudia also opens her barn for an occasional foster from the Feral Cat Project for post spay/neuter recovery. About Raymond JamesRaymond James is one of the largest independent financial services firms in the United States. Since its beginning in 1962, it has always been a different kind of company – embracing long-term planning and methodical decision-making while staying uncompromisingly client focused. When other firms were simply buying and selling stocks or mutual funds, Raymond James focused on financial planning to help individuals reach their goals. It was the first firm to pioneer that concept – and today it supports its advisors with access to a full range of comprehensive resources, helping them to do the same.
Raymond James Financial was named the best full-service broker in the 2011 SmartMoney annual broker survey for the third time in four years – ranking above Edward Jones, Wells Fargo, UBS, Merrill Lynch and Morgan Stanley Smith Barney. For more information, visit raymondjames.com. SmartMoney does not endorse any product or service of Raymond James. The survey criteria included performance of recommended stocks, customer satisfaction, and user-friendliness of account statements and websites. Past performance may not be indicative of future results. |
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Raymond James financial advisors may only conduct business with residents of the states and/or jurisdictions for which they are properly registered. Therefore, a response to a request for information may be delayed. Please note that not all of the investments and services mentioned are available in every state. Investors outside of the United States are subject to securities and tax regulations within their applicable jurisdictions that are not addressed on this site. Contact your local Raymond James office for information and availability. © 2012 Raymond James Financial Services, Inc., member FINRA / SIPC Privacy Notice |
2041 1/2 S. Plaza St. NW
Albuquerque, NM 87104
Phone: 505-883-2957
Fax: 505-883-5586
Toll-Free: 800-953-5567
Direct: 505-883-5779
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