Business Description

Carole Peck Financial Center offers fee based, independent wealth management and provides unbiased research and investment strategies through LPL Financial based on the life planning objectives of our clients. Carole J.A. Peck has over 30 years of industry experience and Carole Peck Financial Center is celebrating 21 years of Client Service.

General Information

Gender:

Female

CRD#:

1383471

Name of Broker/Dealer:

LPL Financial

States Licensed in:

AR, AZ, CA, CO, CT, FL, GA, ID, IL, IN, MA, MI, MO, NC, NJ, NV, NY, OH, OR, PA, SC, TX, WA, WI

Years of Experience in Financial Services:

Number of Years with Current Firm:

I work with the following types of clients:

Individual Investors, Businesses

Education

Academic Background

BA, Russian Language and Area Studies - University of Massachusetts, Amherst. Graduated cum laude.

MBA, Finance - DePaul University

Services

Investment Types:

Real Estate, Commodities, Bonds, Stocks, Exchange Traded Funds (ETFs), Alternative Investments, Mutual Funds, Insurance, Annuities, Socially Responsible Investments (SRI)

Qualifications & Memberships

Certifications, Accreditations & Designations:

CERTIFIED FINANCIAL PLANNER™ Certificant, Insurance License (Life & Health; Long Term Care; Specify below)

Securities Licenses:

Series 7, Series 24, Series 63

Insurance and Annuity Licenses:

Variable Life, Disability, Variable Annuity, Long Term Care, Life, Annuity

Financial Organization Memberships:

Financial Planning Association (FPA)

Firm Information

Number of Advisors in Office:

Up to 10 employees

Assets Managed by Firm:

Yes

Compliance

Registered Investment Advisor:

Yes

Registered Representative:

Yes

Investment Advisor Representative:

Yes

Compliance Disclosures in Last 5 years:

I have a clean record

Criminal Disclosures in Last 5 years:

I have a clean record

Compensation & Fees

I am a fee-based financial professional:

Yes

Minimum Portfolio Size for New Managed Accounts:

250000

Compensation Methods:

Commissions, Flat Fee, Hourly, Based on Assets

Prepared By:

Carole J.A. Peck MBA, CFP®

Most Recent Update:

08/25/2008