linkedInfacebook
For AdvisorsLog InContact Us
Invested Better
Unclaimed

Unclaimed

Unclaimed

Carol D. Harten

LPL Financial LLC

Use our Financial Advisor Match Tool to find your ideal match.
UnclaimedThis information is unverified and unclaimed information. Are you Carol? Claim Your Profile

About Carol D. Harten

Carol D. Harten is a financial advisor with LPL Financial LLC. Carol has been in the financial industry since 2004. Carol holds Series 6 and 63 licenses and is registered in Maryland and Pennsylvania. Carol has experience with M&T Securities, Inc. and UVEST Financial Services Group, Inc. Prior to joining LPL Financial LLC, Carol worked with M&T Securities, Inc. in Baltimore, MD.

Firm Information

Carol Harten is currently registered with LPL Financial LLC. LPL Financial LLC is a Limited Liability Company formed in 2010 and headquartered in Fort Mill, South Carolina. It provides advisory services including financial planning, pension consulting, and portfolio management for individuals and businesses. The firm manages over $463 billion in assets for a variety of clients, including high-net-worth individuals, corporations, pension plans, and charitable organizations. LPL Financial is registered with the SEC and in all 50 states, as well as Puerto Rico and the Virgin Islands.
LPL Financial LLC

1055 LPL WAY

FORT MILL, SC 29715

$463.48B

Assets Under Management

168,915

Total Clients

21,775

Total Financial Advisors

Services Offered

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.

check

financial planning services

Comprehensive financial plans to help you achieve your personal and business goals.

check

pension consulting services

Guidance on pension options to ensure a secure financial future.

check

educational seminars & workshops

Seminars designed to boost your financial literacy and investment knowledge.

check

selection of other advisors

Helps you choose top advisors aligned with your financial goals.

check

portfolio management for businesses

Custom portfolio management strategies for businesses to achieve long-term growth.

check

portfolio management for individuals

Personalized portfolio management to meet individual financial objectives.

check

consulting and other non-discretionary advisory services

Consulting and other non-discretionary advisory services

Fee Structure

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.

check

fixed fees

Set rates for specific services, regardless of time or assets managed.

check

commissions

Earned based on transactions or products sold.

check

percentage of assets

A percentage of the total value of assets under management is charged.

Find Your Ideal Financial Advisor

1

Finding a financial advisor doesn’t have to be complicated. InvestedBetter’s free tool connects you with advisors who serve your area and fit your financial needs in just 5 minutes.

2

Your matches with an Advisor based on their qualifications and skills to help you achieve your financial goals. Get on the path to financial success today.

Carol Harten’s Registration & Firm History

MD

06/09/2021 - Present

LPL Financial LLC (BALTIMORE MD)

MD

01/08/2007 - 06/09/2021

M&T SECURITIES, INC. (BALTIMORE MD)

MD

07/13/2004 - 01/04/2007

UVEST FINANCIAL SERVICES GROUP, INC. (BALTIMORE MD)

Not sure if Carol D. Harten is right for you?

Licenses & Designations

BC

Issued 04/12/2007

Series 63 - Uniform Securities Agent State Law Examination

BC

Issued 10/01/2018

SIE - Securities Industry Essentials Examination

BC

Issued 07/12/2004

Series 6 - Investment Company Products/Variable Contracts Representative Examination

State Registrations

Active

Inactive

SRO Registrations

F

FINRA

Disclosures

There are no public disclosures for Carol D. Harten.
Not sure if Carol D. Harten is right for you?