Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you Carol? Claim Your ProfileCarol Auger is a financial professional with over 25 years of experience in the industry. Carol currently works at Citigroup Global Markets Inc., where she has been employed since 2007. Prior to that, Carol worked at Citigroup Investment Services for several years. Carol is a registered representative with the State of New York and holds a variety of licenses and certifications, including Series 6, 7, 10, 24, 63, and SIE. Carol specializes in providing financial advice to individuals, corporations, and other institutions.
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.
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.
Asset allocation advice
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.
1
2
NY
05/29/2007 - Present
Citigroup Global Markets Inc. (NEW YORK NY)
NY
04/26/2002 - 05/29/2007
CITICORP INVESTMENT SERVICES (LONG ISLAND CITY NY)
NY
07/15/1999 - 04/26/2001
CITICORP INVESTMENT SERVICES (LONG ISLAND CITY NY)
NA
05/09/1995 - 05/25/1999
CITICORP INVESTMENT SERVICES
BC
Issued 12/13/1994
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 06/13/1997
Series 8 - General Securities Sales Supervisor Examination (Options Module & General Module)
BC
Issued 12/02/1996
Series 24 - General Securities Principal Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 07/16/1996
Series 7 - General Securities Representative Examination
BC
Issued 05/08/1995
Series 6 - Investment Company Products/Variable Contracts Representative Examination
Active
Inactive
B
BOX Exchange LLC
C
Cboe BYX Exchange, Inc.
C
Cboe BZX Exchange, Inc.
C
Cboe C2 Exchange, Inc.
C
Cboe EDGA Exchange, Inc.
C
Cboe EDGX Exchange, Inc.
C
Cboe Exchange, Inc.
F
FINRA
I
Investors' Exchange LLC
M
MIAX Emerald, LLC
M
MIAX PEARL, LLC
M
Miami International Securities Exchange, LLC
N
NYSE American LLC
N
NYSE Arca, Inc.
N
NYSE Chicago, Inc.
N
NYSE National, Inc.
N
Nasdaq BX, Inc.
N
Nasdaq GEMX, LLC
N
Nasdaq ISE, LLC
N
Nasdaq MRX, LLC
N
Nasdaq PHLX LLC
N
Nasdaq Stock Market
N
New York Stock Exchange
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