Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you Caroline? Claim Your ProfileCaroline Leventhal is a financial advisor at LPL Enterprise, LLC, based in Forest Hills, NY. Caroline has over 15 years of experience in the financial services industry. Caroline is registered with FINRA as a General Securities Representative and holds the Series 6, Series 7, and Series 66 licenses. Caroline can provide services such as portfolio management, financial planning, educational seminars, and consulting.
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.
Seminars designed to boost your financial literacy and investment knowledge.
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.
A percentage of the total value of assets under management is charged.
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NY
12/23/2024 - Present
LPL Enterprise, LLC (FOREST HILLS NY)
NY
01/31/2013 - 02/11/2020
ALLIANZ GLOBAL INVESTORS DISTRIBUTORS LLC (NEW YORK NY)
NY
07/09/2012 - 01/25/2013
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED (GARDEN CITY NY)
MD
09/06/2011 - 05/08/2012
FORESIDE FUND SERVICES, LLC (BETHESDA MD)
NY
09/03/2008 - 05/18/2011
SCHRODER FUND ADVISORS LLC (NEW YORK NY)
NC
08/04/2005 - 08/28/2008
AXA DISTRIBUTORS, LLC (CHARLOTTE NC)
BOTH
Issued 08/08/2012
Series 66 - Uniform Combined State Law Examination
BC
Issued 08/22/2005
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 06/15/2010
Series 7 - General Securities Representative Examination
BC
Issued 08/03/2005
Series 6 - Investment Company Products/Variable Contracts Representative Examination
Active
Inactive
F
FINRA
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