Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you Carol? Claim Your ProfileCarol Dehen is a financial advisor with LPL Financial LLC. Carol has been in the financial services industry since 1991. Carol holds Series 63, 65, 7, 8, 9, 10 and SIE licenses. Carol has been registered with LPL Financial LLC since 2007. Prior to LPL Financial LLC, Carol was registered with Morgan Stanley DW Inc., Morgan Stanley & Co., Incorporated, and Robert W. Baird & Co. Incorporated.
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.
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MI
02/25/2022 - Present
LPL Financial LLC (GRAND RAPIDS MI)
MI
04/02/2007 - 12/19/2007
MORGAN STANLEY & CO., INCORPORATED (GRAND RAPIDS MI)
MI
05/30/1995 - 04/02/2007
MORGAN STANLEY DW INC. (GRAND RAPIDS MI)
WI
03/25/1991 - 06/06/1995
ROBERT W. BAIRD & CO. INCORPORATED (MILWAUKEE WI)
IA
Issued 07/19/2006
Series 65 - Uniform Investment Adviser Law Examination
BC
Issued 04/02/1991
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 01/02/2023
Series 10 - General Securities Sales Supervisor - General Module Examination
BC
Issued 01/02/2023
Series 9 - General Securities Sales Supervisor - Options Module Examination
BC
Issued 12/19/1995
Series 8 - General Securities Sales Supervisor Examination (Options Module & General Module)
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 10/03/2006
Series 31 - Futures Managed Funds Examination
BC
Issued 03/18/1991
Series 7 - General Securities Representative Examination
Active
Inactive
F
FINRA
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