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This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you Carolyn? Claim Your ProfileCarolyn Song-pegg is a financial advisor who has been working in the industry since 2007. Carolyn Song-pegg is currently registered with Morgan Stanley, and has previously worked at Fifth Third Securities, Inc., MML Investors Services, LLC, UBS PaineWebber Inc., Dean Witter Reynolds Inc., Bear, Stearns & Co. Inc., Smith Barney Inc., CS First Boston Corporation, American Express Financial Advisors Inc., and IDS Life Insurance Company. Carolyn Song-pegg has a variety of licenses and certifications, including Series 3, 7, 63, 65 and 66. Carolyn Song-pegg provides investment advice to individuals, corporations, and institutions. Carolyn Song-pegg specializes in asset allocation, portfolio management, and financial planning.
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
IL
01/18/2022 - Present
Morgan Stanley (Chicago IL)
TN
08/14/2015 - 01/18/2022
FIFTH THIRD SECURITIES, INC. (FRANKLIN TN)
IL
12/09/2011 - 02/19/2014
MML INVESTORS SERVICES, LLC (CHICAGO IL)
NJ
08/18/2000 - 08/28/2002
UBS PAINEWEBBER INC. (WEEHAWKEN NJ)
NY
07/22/1998 - 08/22/2000
DEAN WITTER REYNOLDS INC. (PURCHASE NY)
NY
10/02/1996 - 05/02/1997
BEAR, STEARNS & CO. INC. (NEW YORK NY)
NY
07/15/1996 - 10/04/1996
SMITH BARNEY INC. (NEW YORK NY)
NY
11/10/1995 - 03/15/1996
CS FIRST BOSTON CORPORATION (NEW YORK NY)
MN
05/26/1995 - 08/17/1995
AMERICAN EXPRESS FINANCIAL ADVISORS INC. (MINNEAPOLIS MN)
MN
05/26/1995 - 08/17/1995
IDS LIFE INSURANCE COMPANY (MINNEAPOLIS MN)
BOTH
Issued 01/05/2012
Series 66 - Uniform Combined State Law Examination
IA
Issued 07/05/1996
Series 65 - Uniform Investment Adviser Law Examination
BC
Issued 03/17/1995
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 12/08/2011
Series 7 - General Securities Representative Examination
BC
Issued 11/21/1996
Series 3 - National Commodity Futures Examination
Active
Inactive
F
FINRA
N
NYSE American LLC
N
Nasdaq Stock Market
N
New York Stock Exchange
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