Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you Carol? Claim Your ProfileCarol Robin Horowitz is an investment advisor with over 28 years of experience in the financial services industry. Carol is currently registered with LPL Financial LLC, and has previously been affiliated with Stiefel, Nicolaus & Company, Incorporated, Ryan Beck & Co., Fahnestock & Co. Inc., Josephthal & Co., Inc., Commonwealth Associates and Emanuel and Company. Carol is licensed to provide financial and investment services in multiple states, including California, Colorado, Connecticut, Florida, Illinois, Maine, Maryland, New Jersey, New York, Virginia and Washington.
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.
Consulting and other non-discretionary advisory services
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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NY
08/03/2021 - Present
LPL Financial LLC (MANHASSET NY)
NY
07/10/2007 - 08/03/2020
STIFEL, NICOLAUS & COMPANY, INCORPORATED (GARDEN CITY NY)
NY
01/18/2002 - 07/10/2007
RYAN BECK & CO. (UNIONDALE NY)
NY
01/02/2002 - 01/16/2002
FAHNESTOCK & CO. INC. (NEW YORK NY)
NY
07/09/1997 - 01/02/2002
JOSEPHTHAL & CO., INC. (NEW YORK NY)
NY
07/19/1994 - 07/21/1997
COMMONWEALTH ASSOCIATES (NEW YORK NY)
NY
10/26/1992 - 07/25/1994
EMANUEL AND COMPANY (NEW YORK NY)
IA
Issued 12/11/1999
Series 65 - Uniform Investment Adviser Law Examination
BC
Issued 01/28/1993
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 10/23/1992
Series 7 - General Securities Representative Examination
Active
Inactive
F
FINRA
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