Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you Carol? Claim Your ProfileCarol Galpeer is a financial advisor currently associated with Cetera Investment Advisers LLC, a firm located in Schaumburg, Illinois. Carol has been active in the financial services industry since June 1977. Prior to joining Cetera, Carol worked at Investors Capital Corp., a firm located in Lynnfield, Massachusetts, and UBS Financial Services Inc., a firm located in Stamford, Connecticut. Carol has a variety of industry experience, including working with individuals, businesses, and charitable organizations. Carol is registered to provide advisory services in the following states: Connecticut, Florida, Kansas, New Hampshire, New Jersey, New York, North Carolina, Ohio, Pennsylvania, Tennessee and Texas.
NORWALK, CT
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
CT
03/21/2024 - Present
Cetera Investment Advisers LLC (NORWALK CT)
CT
01/09/2008 - 10/03/2016
INVESTORS CAPITAL CORP. (NORWALK CT)
CT
10/03/1988 - 01/14/2008
UBS FINANCIAL SERVICES INC. (STAMFORD CT)
NA
02/15/1988 - 10/17/1988
SHEARSON LEHMAN HUTTON INC.
NA
07/01/1977 - 02/15/1988
E. F. HUTTON & COMPANY INC
IA
Issued 1/12/1998
Series 65 - Uniform Investment Adviser Law Examination
BC
Issued 1/23/1981
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 10/1/2018
SIE - Securities Industry Essentials Examination
BC
Issued 7/27/1978
PC - AMEX Put and Call Exam
BC
Issued 6/18/1977
Series 7 - General Securities Representative Examination
Active
Inactive
F
FINRA
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