Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you Carrie? Claim Your ProfileCarrie Lynn Patterson is a financial advisor with Principal Securities, Inc. Carrie has been working in the financial services industry since 2007. Carrie is registered with the state of Illinois, Indiana, Minnesota and Wisconsin. Carrie is also registered with FINRA and the state of Iowa. Carrie holds the Series 6, Series 63, Series 65, and SIE licenses. Previously, Carrie worked at Transamerica Investors Securities Corporation and Diversified Investors Securities Corp.
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.
Personalized portfolio management to meet individual financial objectives.
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.
Seminar fees, solicitors fees, subscription consulting fees
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2
IA
12/19/2022 - Present
Principal Securities, Inc. (DES MOINES IA)
IL
11/18/2010 - 11/29/2022
TRANSAMERICA INVESTORS SECURITIES CORPORATION (CHICAGO IL)
NY
11/21/2007 - 08/05/2010
DIVERSIFIED INVESTORS SECURITIES CORP. (HARRISON NY)
IL
10/06/2006 - 05/21/2007
DIVERSIFIED INVESTORS SECURITIES CORP. (CHICAGO IL)
BC
Issued 12/14/2006
Series 63 - Uniform Securities Agent State Law Examination
IA
Issued 08/13/2003
Series 65 - Uniform Investment Adviser Law Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 10/05/2006
Series 6 - Investment Company Products/Variable Contracts Representative Examination
Active
Inactive
F
FINRA
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