linkedInfacebook
For AdvisorsLog InContact Us
Invested Better
Unclaimed

Unclaimed

Unclaimed

Kristen Marie Laughlin-caroff

Little River Capital, LLC

Use our Financial Advisor Match Tool to find your ideal match.
UnclaimedThis information is unverified and unclaimed information. Are you Kristen? Claim Your Profile

About Kristen Marie Laughlin-caroff

Kristen Laughlin-caroff is a financial advisor who has been in the industry since 2013. Kristen is currently registered with Little River Capital, LLC in Alabama. Prior to joining Little River Capital, LLC, Kristen was registered with Carleton McKenna Advisors, LLC, Candlewood Securities, LLC, Primary Capital, LLC, and FTN Midwest Securities Corp. Kristen has passed the Series 63, SIE, Series 79, Series 82, Series 55, and Series 7 exams. Kristen is registered to sell securities in Alabama and Ohio.

Firm Information

Kristen Laughlin-caroff is currently registered with Little River Capital, LLC. Little River Capital, LLC is a Limited Liability Company formed in November 2001. The firm is registered in eight states: Alabama, California, Illinois, Missouri, New York, North Carolina, Ohio, and Virginia. It also has one approved SEC registration.

Not reported

Assets Under Management

Not reported

Total Clients

5

Total Financial Advisors

Services Offered

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.

Fee Structure

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.

Find Your Ideal Financial Advisor

1

Finding a financial advisor doesn’t have to be complicated. InvestedBetter’s free tool connects you with advisors who serve your area and fit your financial needs in just 5 minutes.

2

Your matches with an Advisor based on their qualifications and skills to help you achieve your financial goals. Get on the path to financial success today.

Kristen Laughlin-caroff’s Registration & Firm History

AL

01/24/2024 - Present

Little River Capital, LLC (VESTAVIA HILLS AL)

OH

09/01/2020 - 01/29/2024

CARLETON MCKENNA ADVISORS, LLC (CLEVELAND OH)

OH

03/28/2017 - 09/01/2020

CANDLEWOOD SECURITIES, LLC (CLEVELAND OH)

NY

02/23/2015 - 03/24/2017

PRIMARY CAPITAL, LLC (NEW YORK NY)

OH

06/05/2006 - 07/29/2008

FTN MIDWEST SECURITIES CORP. (CLEVELAND OH)

Not sure if Kristen Marie Laughlin-caroff is right for you?

Licenses & Designations

BC

Issued 03/03/2015

Series 63 - Uniform Securities Agent State Law Examination

BC

Issued 10/01/2018

SIE - Securities Industry Essentials Examination

BC

Issued 05/02/2018

Series 79 - Investment Banking Registered Representative Examination

BC

Issued 02/21/2015

Series 82 - Limited Representative-Private Securities Offerings

BC

Issued 10/02/2006

Series 55 - Limited Representative-Equity Trader Exam

BC

Issued 06/02/2006

Series 7 - General Securities Representative Examination

State Registrations

Active

Inactive

SRO Registrations

F

FINRA

Disclosures

There are no public disclosures for Kristen Marie Laughlin-caroff.
Not sure if Kristen Marie Laughlin-caroff is right for you?