Carol N. Ungar

CETERA INVESTMENT ADVISERS LLC

W NYACK, NY

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CRD#: 1239534

Professional summary

Carol Nanette Ungar is a registered financial advisor currently at CETERA INVESTMENT ADVISERS LLC located in W Nyack, New York and CETERA FINANCIAL SPECIALISTS LLC located in W Nyack, New York.

Carol is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1984. Carol has worked at 7 firms and has passed the Series 63, SIE, Series 7 and Series 6 exams.

Question & Answer

Are you a "fiduciary"?

Yes

Aliases

None

Other business activities

Outside business activity is any business or activity undertaken by an advisor that is outside the scope of their relationship with their firm (e.g., consulting services, real estate, freelance work, teaching, etc.). Investors should stay informed about these activities to ensure no conflicts of interest.

1)UNGAR & MULLIN FINANCIAL ASSOCIATES, INC, NOT INVESTMENT RELATED, TAX PRACTICE, PREPARATION OF TAX RETURNS, INDIVIDUAL CORPORATE, PARTNERSHIP TRUST, CORPORATION & PARTNER: BERNARD MULLIN; 2) SELLS FIXED ANNUITIES, LIFE INSURANCE, HEALTH INSURANCE AND LONG-TERM CARE INSURANCE, 10H/WEEK; 3) WEIGHT WATCHERS, NOT INV REL, RECEPTIONIST, SINCE 08/2007, 4H/WK;

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Carol Nanette Ungar's CRS (Customer Relationship Summary).

CRS (Customer Relationship Summary)

Certified licenses

Advisors may have various certifications and credentials from different organizations. AdvisorCheck highlights these seven certifications - AIF®, CFP®, ChFC®, CFA, CLU®, CIMA®, CPWA®

None

Experience

Current

May 21, 2021 - Present

CETERA INVESTMENT ADVISERS LLC

RIA

CRD#: 105644

W NYACK, NY

Current

October 24, 2005 - Present

CETERA FINANCIAL SPECIALISTS LLC

Office #1: 14 Louise Drive, W Nyack, NY 10994

CRD#: 10358

W Nyack, NY

Past

November 7, 2000 - October 24, 2005

C. J. M. PLANNING CORP.

CRD#: 5698

POMPTON LAKES, NJ

Past

September 3, 1997 - October 24, 2000

NATHAN & LEWIS SECURITIES, INC.

CRD#: 8503

NEW YORK, NY

Past

January 1, 1993 - July 2, 1997

CHURCHILL SECURITIES, INC.

CRD#: 10343

SUFFERN, NY

Past

February 25, 1991 - December 2, 1992

ROBERT TODD FINANCIAL CORP.

CRD#: 7423

NEW YORK, NY

Past

June 7, 1984 - June 19, 1992

GLOBAL CAPITAL SECURITIES, INC.

CRD#: 13358

Primary Firm SEC Registration

This SEC-registered firm can serve clients nationwide. Some states may require the firm to submit a notice filing if the firm has more than 5 clients or a physical office there. You can view these state-level filings under the section titled "State Registrations and Notice Filings".

CETERA INVESTMENT ADVISERS LLC

CRD#: 105644 / SEC#: 801-20406

RIA

Registered Investment Advisory firm - (1/13/1984 Approved)

State Registrations and Notice Filings

Listed states reflect where the advisor is authorized to serve clients under state regulations.

IAR

means the advisor is registered as an Investment Advisor Representative in this state and is authorized to provide investment advice to clients there.

indicates the advisor is registered as a Registered Representative in this state, allowing them to offer securities such as stocks, bonds, and mutual funds through a broker-dealer.

Visual representation of state registrations

Arizona
(8/13/2025)

Delaware
(1/2/2020)

Florida
(10/24/2005)

Georgia
(1/25/2016)

Maryland
(6/28/2016)

Massachusetts
(10/16/2012)

New Jersey
(10/24/2005)

New York
(10/24/2005)

IAR

New York
(5/21/2021)

North Carolina
(3/18/2014)

Oregon
(1/3/2017)

Pennsylvania
(1/25/2016)

South Carolina
(11/9/2015)

Tennessee
(1/2/2021)

Don't see your state listed? The advisor may still be able to work with you under the federal De Minimis Rule, which allows up to five investment advisory clients in a state without registration. Some states, like TX, LA, NE, and NH, may still require registration or notice filing. Contact the advisor or their firm to confirm their investment advisory availability in your state. Note: This rule does not apply to broker-dealer activity.

Exams

State Security Law Exam

Series 63

Date: 5/4/1984

Uniform Securities Agent State Law Examination

General Industry/Product Exam

SIE

Date: 10/1/2018

Securities Industry Essentials Examination

General Industry/Product Exam

Series 7

Date: 9/20/1986

General Securities Representative Examination

General Industry/Product Exam

Series 6

Date: 6/6/1984

Investment Company Products/Variable Contracts Representative Examination

SRO Registrations

FINRA

Current Firm

CETERA INVESTMENT ADVISERS LLC

CRD#: 105644 / SEC#: 801-20406

RIA

Registered Investment Advisory firm - (1/13/1984 Approved)

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Contact information

Main Address

1450 American Lane 6th Floor, Suite 650, Schaumburg, IL 60173-2096

Mailing Address

Phone number

(310) 257-7880

Established

Firm type

Fiscal year end

# of Employees

7,705

SEC notice filing (53 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)

Latest Form ADV

Regulatory assets under management

Total Number of Accounts	584,487
AUM (Assets Under Management)	$ 163,792,814,520

Accountant surprise examination report

Filing Date	Form ADV-E Cover	Form ADV-E Report
10/27/2025	Cover Page	Report
12/13/2024	Cover Page	Report
09/26/2023	Cover Page	Report
11/18/2022	Cover Page	Report

Red Flags

Disclosures can be potential red flags, including customer disputes, regulatory fines, employer terminations, bankruptcies, judgments, liens, or certain criminal activities.

Check for any disclosures as part of your thorough research when choosing an advisor.

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Carol N. Ungar

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Carol Nanette Ungar's CRS (Customer Relationship Summary).

Certified licenses

Experience

CETERA FINANCIAL SPECIALISTS LLC

C. J. M. PLANNING CORP.

NATHAN & LEWIS SECURITIES, INC.

CHURCHILL SECURITIES, INC.

ROBERT TODD FINANCIAL CORP.

GLOBAL CAPITAL SECURITIES, INC.

Primary Firm SEC Registration

CETERA INVESTMENT ADVISERS LLC

State Registrations and Notice Filings

Exams

Series 63

Date: 5/4/1984

SIE

Date: 10/1/2018

Series 7

Date: 9/20/1986

Series 6

Date: 6/6/1984

FINRA

Current Firm

CETERA INVESTMENT ADVISERS LLC

Contact information

SEC notice filing (53 States and Territories)

Documents

Regulatory assets under management

Accountant surprise examination report

Red Flags

Company Information

CETERA INVESTMENT ADVISERS LLC

TRUST BUT VERIFY

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