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This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you Carol? Claim Your ProfileCarol Ann Whelan has been in the financial services industry since May 8, 1991. Carol Ann is a Registered Representative and Investment Advisor Representative with Cambridge Investment Research Advisors, Inc. in both Connecticut and Texas. Prior to joining Cambridge, Carol Ann Whelan worked for CETERA ADVISORS LLC, QUESTAR CAPITAL CORPORATION, ING FINANCIAL PARTNERS, INC. and ING FINANCIAL ADVISERS, LLC. Carol Ann Whelan also has a business ownership in the real estate industry and is an Advisory Representative of an RIA for Cambridge.
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.
Earned based on transactions or products sold.
A percentage of the total value of assets under management is charged.
Solicitation fees from 3rd party money managers
1
2
CT
03/01/2024 - Present
Cambridge Investment Research Advisors, Inc. (Farmington CT)
CT
12/26/2018 - 03/19/2024
CETERA ADVISORS LLC (FARMINGTON CT)
CT
12/09/2013 - 12/24/2018
QUESTAR CAPITAL CORPORATION (FARMINGTON CT)
CT
12/22/2010 - 12/12/2013
ING FINANCIAL PARTNERS, INC. (FARMINGTON CT)
CT
10/15/1993 - 12/31/2010
ING FINANCIAL ADVISERS, LLC (FARMINGTON CT)
CT
05/08/1991 - 10/15/1993
AETNA LIFE INSURANCE AND ANNUITY COMPANY (HARTFORD CT)
BOTH
Issued 12/04/2000
Series 66 - Uniform Combined State Law Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 05/07/1991
Series 6 - Investment Company Products/Variable Contracts Representative Examination
Active
Inactive
F
FINRA
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