Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you Cari? Claim Your ProfileCari Anne Smith is an investment advisor representative with Private Advisor Group, LLC. Cari Anne has been in the securities industry since 2004. Cari Anne is registered with FINRA, the SEC and the state of Colorado as an investment advisor representative. Cari Anne is licensed to provide investment advisory services in 53 states and jurisdictions. Cari Anne has worked for Private Advisor Group, LLC since October 2020, and previously worked for LPL Financial LLC.
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.
Solicitation/referral
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.
Solicitor/referral fees
1
2
NJ
10/05/2020 - Present
Private Advisor Group, LLC (MORRISTOWN NJ)
SC
01/28/2005 - 04/23/2012
LPL FINANCIAL LLC (FORT MILL SC)
SC
05/10/1999 - 07/07/2000
LINSCO/PRIVATE LEDGER CORP. (FORT MILL SC)
BOTH
Issued 05/06/2006
Series 66 - Uniform Combined State Law Examination
BC
Issued 03/31/1999
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 04/06/2005
Series 24 - General Securities Principal Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 01/27/2005
Series 7 - General Securities Representative Examination
Active
Inactive
F
FINRA
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