Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you Carly? Claim Your ProfileCarly Katherine Griffin is a financial advisor at LPL Financial LLC. Carly Katherine Griffin has been a registered representative for over 11 years, and is a Certified Financial Planner. Carly Katherine Griffin is registered in 10 states and has passed the Series 6, Series 63, Series 26 and SIE exams. Carly Katherine Griffin previously worked at J.W. COLE FINANCIAL, INC. and FORESTERS FINANCIAL SERVICES, INC. Carly Katherine Griffin offers a variety of services including financial planning, portfolio management for individuals and businesses, educational seminars, and selection of other advisors.
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.
Consulting and other non-discretionary advisory services
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.
Earned based on transactions or products sold.
A percentage of the total value of assets under management is charged.
1
2
SC
01/10/2020 - Present
LPL Financial LLC (FORT MILL SC)
GA
10/26/2018 - 09/25/2019
J.W. COLE FINANCIAL, INC. (Marietta GA)
GA
02/27/2012 - 09/21/2018
FORESTERS FINANCIAL SERVICES, INC. (ATLANTA GA)
IA
Issued 08/26/2019
Series 65 - Uniform Investment Adviser Law Examination
BC
Issued 04/11/2012
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 03/16/2015
Series 26 - Investment Company Products/Variable Contracts Principal Examination
BC
Issued 09/21/2018
SIE - Securities Industry Essentials Examination
BC
Issued 02/26/2012
Series 6 - Investment Company Products/Variable Contracts Representative Examination
Active
Inactive
F
FINRA
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