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This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you Carole? Claim Your ProfileCarole Robin Epstein is a financial advisor with over 19 years of experience in the financial services industry. Carole has been with MORGAN STANLEY since 2009, and previously worked with CITIGROUP GLOBAL MARKETS INC. and UBS FINANCIAL SERVICES INC. Carole holds FINRA Series 6, 7, 31 and 66 licenses, as well as the SIE. Carole is registered to provide investment advice in 24 states. Morgan Stanley is an independent company, registered with the Securities and Exchange Commission.
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.
Strategic management for diversified investment portfolios.
Asset allocation advice
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.
Fees calculated based on the performance of your investments relative to a benchmark.
See schedule d miscellaneous
1
2
NY
05/15/2020 - Present
Wealthpenn.comllc (Purchase NY)
NY
07/05/2007 - 06/01/2009
CITIGROUP GLOBAL MARKETS INC. (MOUNT KISCO NY)
NY
06/03/2004 - 07/25/2007
UBS FINANCIAL SERVICES INC. (MT. KISCO NY)
MA
01/19/2004 - 03/24/2004
METLIFE SECURITIES INC. (SPRINGFIELD MA)
NY
01/19/2004 - 03/24/2004
METROPOLITAN LIFE INSURANCE COMPANY (NEW YORK NY)
BOTH
Issued 6/21/2004
Series 66 - Uniform Combined State Law Examination
BC
Issued 1/27/2004
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 10/1/2018
SIE - Securities Industry Essentials Examination
BC
Issued 6/26/2008
Series 31 - Futures Managed Funds Examination
BC
Issued 6/2/2004
Series 7 - General Securities Representative Examination
BC
Issued 1/14/2004
Series 6 - Investment Company Products/Variable Contracts Representative Examination
Active
Inactive
F
FINRA
N
NYSE American LLC
N
Nasdaq Stock Market
N
New York Stock Exchange
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