Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you Caren? Claim Your ProfileCaren Lee Sgarlato is an Investment Advisor Representative with MML Investors Services, LLC, Caren is registered with FINRA and has over 20 years of experience in the financial services industry. Caren has a series 7, Series 63, and Series 66 license and provides financial planning, asset allocation programs, pension consulting, educational seminars, and portfolio management services to individuals, businesses, and trusts. Caren has a strong background in insurance and has been actively involved in the insurance industry since 2010.
Advisors offer a broad range of advisory services designed to meet the unique needs of individuals, businesses, and investment companies. These services provide professional guidance and personalized strategies to help clients achieve their financial goals.
Comprehensive financial plans to help you achieve your personal and business goals.
Guidance on pension options to ensure a secure financial future.
Seminars designed to boost your financial literacy and investment knowledge.
Helps you choose top advisors aligned with your financial goals.
Custom portfolio management strategies for businesses to achieve long-term growth.
Personalized portfolio management to meet individual financial objectives.
Asset allocation programs
Advisors may be compensated through a variety of fee structures, offering flexibility and transparency. This allows clients to choose the arrangement that best aligns with their financial objectives.
Set rates for specific services, regardless of time or assets managed.
A percentage of the total value of assets under management is charged.
Solicitors fees
1
2
NY
05/23/2017 - Present
MML Investors Services, LLC (New York NY)
NY
06/02/2006 - 03/25/2017
MSI FINANCIAL SERVICES, INC. (NEW YORK NY)
NY
06/02/2006 - 07/09/2007
METROPOLITAN LIFE INSURANCE COMPANY (NEW YORK NY)
MO
03/17/2005 - 12/05/2005
WACHOVIA SECURITIES, LLC (ST. LOUIS MO)
NY
09/26/2002 - 11/15/2004
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED (NEW YORK NY)
NY
03/24/2000 - 05/22/2000
MAXIMA GROUP, LLC (NEW YORK NY)
NA
03/28/1989 - 08/08/1991
BT SECURITIES CORPORATION
BOTH
Issued 11/07/2002
Series 66 - Uniform Combined State Law Examination
BC
Issued 11/08/1988
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 03/23/2000
Series 7 - General Securities Representative Examination
Active
Inactive
F
FINRA
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