Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you Carol? Claim Your ProfileCarol Lupo is an investment advisor representative with over 36 years of experience in the financial services industry. Carol currently works at Wells Fargo Advisors Financial Network, LLC, where she has been employed since November 2020. Prior to that, Carol was registered with Wells Fargo Clearing Services, LLC, and UBS Financial Services Inc. Carol specializes in providing financial planning and investment management services to individuals, businesses, and 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.
Investment consulting services to institutional clients
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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2
NJ
11/06/2020 - Present
Wells Fargo Advisors Financial Network, LLC (CHERRY HILL NJ)
NJ
03/05/2009 - 11/05/2020
WELLS FARGO CLEARING SERVICES, LLC (MARLTON NJ)
NJ
04/17/1995 - 03/16/2009
UBS FINANCIAL SERVICES INC. (MT. LAUREL NJ)
NY
07/31/1993 - 04/25/1995
SMITH BARNEY INC. (NEW YORK NY)
NY
02/15/1988 - 07/31/1993
LEHMAN BROTHERS INC. (NEW YORK NY)
NA
01/25/1984 - 02/15/1988
E. F. HUTTON & COMPANY INC
IA
Issued 08/30/2018
Series 65 - Uniform Investment Adviser Law Examination
BC
Issued 02/01/1984
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 01/21/1984
Series 7 - General Securities Representative Examination
Active
Inactive
F
FINRA
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