Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you Carol? Claim Your ProfileCarol Lynn Pace is a financial professional with over 17 years of experience in the industry. Carol is currently registered with David Lerner Associates, Inc. and holds the Series 7, Series 11, and Series 63 licenses. Carol has been registered in Connecticut since January 1, 2011 and in New York since August 22, 2011.
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.
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.
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2
CT
03/30/2005 - Present
David Lerner Associates, Inc. (WESTPORT CT)
BC
Issued 12/29/2010
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 07/26/2011
Series 7 - General Securities Representative Examination
BC
Issued 03/29/2005
Series 11 - Assistant Representative-Order Processing Qualification Exam
Active
Inactive
F
FINRA
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