Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you Carmen? Claim Your ProfileCarmen Iok sim Iao is a financial advisor with Cetera Investment Advisers LLC. Carmen has been in the financial industry since 1997 and has a Series 7, Series 63 and Series 66 license. She has experience working with LPL Financial LLC, Bankoh Investment Services, Inc., Duerr Financial Corporation, FISERV INVESTOR SERVICES, INC., Park Avenue Securities LLC, Guardian Investor Services Corporation, MONY Securities Corporation and SunAmerica Securities, Inc. Carmen specializes in providing financial planning, pension consulting, educational seminars, selection of other advisers, portfolio management for businesses and individuals. She also offers portfolio management for investment companies. Carmen is registered with the Securities and Exchange Commission and the state of Hawaii.
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.
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.
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2
HI
04/18/2017 - Present
Cetera Investment Advisers LLC (HONOLULU HI)
HI
06/20/2016 - 04/27/2017
LPL FINANCIAL LLC (HONOLULU HI)
HI
04/07/2005 - 06/07/2016
BANKOH INVESTMENT SERVICES, INC. (HONOLULU HI)
CA
05/01/2002 - 03/25/2005
DUERR FINANCIAL CORPORATION (CHINO HILLS CA)
TX
09/04/2001 - 05/01/2002
FISERV INVESTOR SERVICES, INC. (HOUSTON TX)
NY
05/03/1999 - 09/12/2001
PARK AVENUE SECURITIES LLC (NEW YORK NY)
NY
04/19/1999 - 05/03/1999
GUARDIAN INVESTOR SERVICES CORPORATION (NEW YORK NY)
NY
12/21/1998 - 04/19/1999
MONY SECURITIES CORPORATION (NEW YORK NY)
AZ
09/24/1997 - 04/21/1998
SUNAMERICA SECURITIES, INC. (PHOENIX AZ)
BOTH
Issued 12/22/2003
Series 66 - Uniform Combined State Law Examination
BC
Issued 10/01/1997
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 09/23/1997
Series 7 - General Securities Representative Examination
Active
Inactive
F
FINRA
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