Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you Carol? Claim Your ProfileCarol Nanette Ungar is a financial advisor who has been in the industry since September 18, 1984. Carol is currently registered with Cetera Investment Advisers LLC. Prior to that, Carol worked at C. J. M. PLANNING CORP., NATHAN & LEWIS SECURITIES, INC., CHURCHILL SECURITIES, INC., ROBERT TODD FINANCIAL CORP., and GLOBAL CAPITAL SECURITIES, INC. Carol is licensed in Arizona, Connecticut, Delaware, Florida, Georgia, Maryland, Massachusetts, New Jersey, New York, North Carolina, Ohio, Oregon, Pennsylvania, South Carolina, and Tennessee. Carol holds the Series 6, 7, and 63 licenses, and the SIE. Carol also provides tax preparation services through Ungar & Mullin Financial Associates, Inc.
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.
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.
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2
NY
05/21/2021 - Present
Cetera Investment Advisers LLC (W NYACK NY)
NJ
11/07/2000 - 10/24/2005
C. J. M. PLANNING CORP. (POMPTON LAKES NJ)
NY
09/03/1997 - 10/24/2000
NATHAN & LEWIS SECURITIES, INC. (NEW YORK NY)
NY
01/01/1993 - 07/02/1997
CHURCHILL SECURITIES, INC. (SUFFERN NY)
NY
02/25/1991 - 12/02/1992
ROBERT TODD FINANCIAL CORP. (NEW YORK NY)
NA
06/07/1984 - 06/19/1992
GLOBAL CAPITAL SECURITIES, INC.
BC
Issued 05/04/1984
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 09/20/1986
Series 7 - General Securities Representative Examination
BC
Issued 06/06/1984
Series 6 - Investment Company Products/Variable Contracts Representative Examination
Active
Inactive
F
FINRA
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