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 over 30 years of experience in the financial services industry. Currently, Carol is a registered representative of Cetera Investment Advisers LLC. Carol provides a range of financial services, including financial planning, portfolio management for individuals and businesses, and selection of other advisors. Previously, Carol was an advisor for INVEST FINANCIAL CORPORATION, ESSEX NATIONAL SECURITIES, INC., LIBERTY SECURITIES CORPORATION, and GNA SECURITIES, INC. Carol is licensed in Illinois and has passed the Series 6, 7, 26, 51, 63 and 65 exams. Carol is also a First Vice President at Marquette Bank, where she oversees retail banking and wealth management programs.
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 02/27/2003
Series 51 - Municipal Fund Securities Principal Examination
BC
Issued 10/22/1993
Series 26 - Investment Company Products/Variable Contracts Principal Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 03/16/2000
Series 7 - General Securities Representative Examination
BC
Issued 04/21/1989
Series 6 - Investment Company Products/Variable Contracts Representative Examination
Active
Inactive
F
FINRA
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