Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you Carole? Claim Your ProfileCarole Lane is a financial advisor with LPL Financial LLC. Carole has been in the financial industry since 1994. Carole has a Series 7 and Series 66 license and holds registrations in multiple states including California, Colorado, Idaho, Illinois, and Texas. Carole also has experience with Waddell & Reed, MML Investors Services, LLC, UBS Financial Services Inc., Ameriprise Financial Services, Inc., and IDS Life Insurance Company.
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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2
CA
07/21/2021 - Present
LPL Financial LLC (NEWPORT BEACH CA)
CA
05/07/2013 - 07/21/2021
WADDELL & REED (IRVINE CA)
CA
06/08/2009 - 05/10/2013
MML INVESTORS SERVICES, LLC (NEWPORT BEACH CA)
CA
04/13/2006 - 05/13/2009
UBS FINANCIAL SERVICES INC. (NEWPORT BEACH CA)
CA
03/02/1994 - 04/12/2006
AMERIPRISE FINANCIAL SERVICES, INC. (IRVINE CA)
MN
03/02/1994 - 04/12/2006
IDS LIFE INSURANCE COMPANY (MINNEAPOLIS MN)
BOTH
Issued 06/12/2006
Series 66 - Uniform Combined State Law Examination
BC
Issued 02/04/1994
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 03/01/1994
Series 7 - General Securities Representative Examination
Active
Inactive
F
FINRA
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