Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you Carolyn? Claim Your ProfileCarolyn Anderson is a financial advisor with over 24 years of experience in the industry. Carolyn is currently registered with LPL Financial LLC in Red Bank, NJ. Carolyn has previously worked for Morgan Stanley, UBS Financial Services Inc. and Citigroup Global Markets Inc. Carolyn is a Series 63 and Series 65 licensed representative and has earned the Series 7, Series 9, Series 10 and SIE licenses.
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
NJ
09/30/2021 - Present
LPL Financial LLC (RED BANK NJ)
NJ
06/01/2009 - 10/26/2021
MORGAN STANLEY (Red Bank NJ)
NJ
01/30/2009 - 06/01/2009
MORGAN STANLEY & CO. INCORPORATED (RED BANK NJ)
NJ
05/07/2004 - 02/11/2009
UBS FINANCIAL SERVICES INC. (RED BANK NJ)
NY
03/18/1998 - 05/17/2004
CITIGROUP GLOBAL MARKETS INC. (NEW YORK NY)
PA
11/07/1997 - 03/03/1998
PNC BROKERAGE CORP (PITTSBURGH PA)
NY
03/17/1997 - 11/07/1997
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED (NEW YORK NY)
IA
Issued 03/06/2015
Series 65 - Uniform Investment Adviser Law Examination
BC
Issued 04/15/1997
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 03/14/2005
Series 9 - General Securities Sales Supervisor - Options Module Examination
BC
Issued 03/11/2005
Series 10 - General Securities Sales Supervisor - General Module Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 02/04/1997
Series 7 - General Securities Representative Examination
Active
Inactive
F
FINRA
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