Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you Carol? Claim Your ProfileCarol Steele is a financial advisor with Cetera Investment Advisers LLC. Carol has been working in the financial industry since 1989. Carol's career has spanned several firms and she is currently registered with Cetera Investment Advisers LLC. Carol is registered as a Registered Representative in the state of Illinois. Carol holds the following licenses: Series 6, 7, 26, 51 and 63.
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
IL
01/08/2018 - Present
Cetera Investment Advisers LLC (Orland Park IL)
IL
03/31/2003 - 01/08/2018
INVEST FINANCIAL CORPORATION (CHICAGO IL)
CA
04/08/1999 - 04/09/2003
ESSEX NATIONAL SECURITIES, INC. (NAPA CA)
NY
01/04/1999 - 03/22/1999
LIBERTY SECURITIES CORPORATION (PURCHASE NY)
CA
09/03/1993 - 12/31/1998
ESSEX NATIONAL SECURITIES, INC. (NAPA CA)
VA
04/24/1989 - 03/15/1995
GNA SECURITIES, INC. (GLEN ALLEN VA)
IA
Issued 11/17/2006
Series 65 - Uniform Investment Adviser Law Examination
BC
Issued 11/14/1991
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 2/27/2003
Series 51 - Municipal Fund Securities Principal Examination
BC
Issued 10/22/1993
Series 26 - Investment Company Products/Variable Contracts Principal Examination
BC
Issued 10/1/2018
SIE - Securities Industry Essentials Examination
BC
Issued 3/16/2000
Series 7 - General Securities Representative Examination
BC
Issued 4/21/1989
Series 6 - Investment Company Products/Variable Contracts Representative Examination
Active
Inactive
F
FINRA
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