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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 an Investment Advisor Representative with Cetera Investment Advisers LLC, which is based in Schaumburg, IL. Carol has been in the industry since June 1977, and has been registered with the state of Connecticut since October 2016. Carol holds the Series 63, 65, and 7 licenses and the SIE exam certification, which is a requirement for all newly-registered individuals. Carol is a registered representative of both FINRA and the state of Connecticut. Previous to her time with Cetera Investment Advisers LLC, Carol was employed by Investors Capital Corporation, UBS Financial Services Inc., Shearson Lehman Hutton Inc. and E.F. Hutton & Company 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.
1
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 01/12/1998
Series 65 - Uniform Investment Adviser Law Examination
BC
Issued 01/23/1981
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 07/27/1978
PC - AMEX Put and Call Exam
BC
Issued 06/18/1977
Series 7 - General Securities Representative Examination
Active
Inactive
F
FINRA
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