Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you Carole? Claim Your ProfileCarole Browne is a registered investment advisor representative in Pennsylvania and has been working in the financial industry since 2001. Carole has held positions at several firms, including Transamerica Securities Sales Corporation, Diversified Investors Securities Corp., and OneAmerica Securities, Inc. Carole currently works at NFP Retirement Inc. and is registered with the firm to provide investment advice. Carole has passed the Uniform Investment Adviser Law Examination (Series 65) and the Uniform Securities Agent State Law Examination (Series 63).
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.
Helps you choose top advisors aligned with your financial goals.
Personalized portfolio management to meet individual financial objectives.
Research reports on 401(k) plans / diligence on investment lineups
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
PA
08/27/2020 - Present
NFP Retirement Inc. (Warrington PA)
IN
04/20/2015 - 01/17/2020
ONEAMERICA SECURITIES, INC. (INDIANAPOLIS IN)
NY
02/01/2003 - 08/01/2005
DIVERSIFIED INVESTORS SECURITIES CORP. (HARRISON NY)
CA
11/23/2001 - 02/01/2003
TRANSAMERICA SECURITIES SALES CORPORATION (LOS ANGELES CA)
IA
Issued 08/27/2020
Series 65 - Uniform Investment Adviser Law Examination
BC
Issued 04/16/2015
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 04/20/2015
Series 6 - Investment Company Products/Variable Contracts Representative Examination
Active
Inactive
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