Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you Carolyn? Claim Your ProfileCarolyn Westerberg is a financial advisor with over 28 years of experience in the financial services industry. Carolyn Westerberg is registered with Merrill Lynch, Pierce, Fenner & Smith Inc. and is also registered with the state of Connecticut as an Investment Advisor Representative. Carolyn Westerberg has worked in the financial industry since June 9, 1993. Prior to joining Merrill Lynch, Pierce, Fenner & Smith Inc., Carolyn Westerberg worked at J.P. Morgan Securities LLC. Carolyn Westerberg's areas of expertise include portfolio management for individuals and businesses, as well as pension consulting. Carolyn Westerberg also provides educational seminars and selection of other advisors. Carolyn Westerberg is committed to providing her clients with the highest level of service and expertise.
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.
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.
Performance measurement reports, allocation modeling, ips, research reports and services, see schedule d
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.
1
2
CT
11/03/2015 - Present
Merrill Lynch, Pierce, Fenner & Smith Inc. (GREENWICH CT)
CT
09/03/2010 - 07/14/2015
J.P. MORGAN SECURITIES LLC (GREENWICH CT)
NY
10/31/2003 - 02/03/2004
HARBORSIDE SECURITIES, LLC (NEW YORK NY)
CT
03/30/1999 - 03/04/2002
ABN AMRO INCORPORATED (STAMFORD CT)
NY
05/14/2001 - 03/01/2002
ABN AMRO SECURITIES LLC (NEW YORK NY)
NY
10/06/1992 - 03/17/1999
PARIBAS CORPORATION (NEW YORK NY)
NY
06/15/1987 - 10/06/1992
CS FIRST BOSTON CORPORATION (NEW YORK NY)
NA
01/23/1985 - 06/09/1987
SHEARSON LEHMAN BROTHERS INC.
IA
Issued 11/02/2015
Series 65 - Uniform Investment Adviser Law Examination
BC
Issued 11/01/2010
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 08/17/1995
Series 24 - General Securities Principal Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 09/02/2010
Series 7 - General Securities Representative Examination
Active
Inactive
C
Cboe BYX Exchange, Inc.
C
Cboe BZX Exchange, Inc.
C
Cboe Exchange, Inc.
F
FINRA
I
Investors' Exchange LLC
N
Nasdaq Stock Market
N
New York Stock Exchange
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