Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you Carrie? Claim Your ProfileCarrie Elizabeth Peterson-brown is a financial advisor with Pimco Investments LLC. Carrie has over 15 years of experience in the financial services industry. Carrie has been registered with FINRA since 2009 and is currently registered in 53 states. Carrie is a Series 3, 7 and 66 licensed advisor with a SIE designation. Before joining Pimco Investments LLC in 2011, Carrie worked at Allianz Global Investors Distributors LLC, ABN AMRO Incorporated and LaSalle Financial Services, Inc.
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.
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.
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2
CA
02/14/2011 - Present
Pimco Investments LLC (NEWPORT BEACH CA)
CA
09/16/2009 - 02/14/2011
ALLIANZ GLOBAL INVESTORS DISTRIBUTORS LLC (NEWPORT BEACH CA)
CT
01/04/2007 - 07/25/2007
ABN AMRO INCORPORATED (STAMFORD CT)
IL
08/17/2004 - 12/31/2006
LASALLE FINANCIAL SERVICES, INC. (CHICAGO IL)
BOTH
Issued 09/29/2009
Series 66 - Uniform Combined State Law Examination
BC
Issued 08/23/2004
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 10/14/2009
Series 3 - National Commodity Futures Examination
BC
Issued 09/15/2009
Series 7 - General Securities Representative Examination
Active
Inactive
F
FINRA
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