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Carolyn L. Cereghino

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CRD#: 1544905
CC

Professional summary

Being a previously registered professional could mean that this person is no longer operating under the supervision of the SEC or FINRA.

That means that the Securities and Exchange Commission may not be able to oversee the services that this specific professional is providing.

Carolyn Louise Cereghino was a registered financial professional .

Carolyn is a previously registered financial professional and started their career in finance in 1986. Carolyn had worked at 6 firms and has passed the Series 65, Series 63, SIE, Series 7 and Series 24 exams.

top-8-questions

Question & Answer

Are you a "fiduciary"?
No

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.
The advisor shows no other business activity.

Blog Corner

CRS (Client Relationship Summary)

The CRS(Customer Relationship Summary) document is not provided.

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

Past

July 20, 2009 - March 5, 2012

FINANCIAL ADVOCATES ADVISORY SERVICES

RIA
CRD#: 147786
OLYMPIA, WA
Past

May 29, 2002 - May 11, 2016

LPL FINANCIAL LLC

RIA
CRD#: 6413
TUKWILA, WA
Past

May 29, 2002 - May 11, 2016

LPL FINANCIAL LLC

BD
CRD#: 6413
TUKWILA, WA
Past

January 28, 1999 - April 25, 2002

CETERA INVESTMENT SERVICES LLC

RIA
CRD#: 15340
TACOMA, WA
Past

June 19, 1996 - April 25, 2002

CETERA INVESTMENT SERVICES LLC

BD
CRD#: 15340
ST. CLOUD, MN
Past

September 26, 1989 - January 4, 1995

CAPITAL BROKERAGE CORPORATION

BD
CRD#: 10465
GLEN ALLEN, VA
Past

May 29, 1987 - March 22, 1988

PACIFIC FIRST SECURITIES, LTD.

BD
CRD#: 18021
Past

August 30, 1986 - May 21, 1987

MORGAN STANLEY DW INC.

BD
CRD#: 7556

State Registrations and Notice Filings

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

Visual representation of state registrations

This advisor is not registered in any state.

Exams

State Security Law Exam
IAR
Series 65
Date: 9/12/1997
Uniform Investment Adviser Law Examination
State Security Law Exam
RR
Series 63
Date: 9/24/1986
Uniform Securities Agent State Law Examination
General Industry/Product Exam
RR
SIE
Date: 5/11/2016
Securities Industry Essentials Examination
General Industry/Product Exam
RR
Series 7
Date: 8/16/1986
General Securities Representative Examination
Principal/Supervisory Exam
RR
Series 24
Date: 11/13/1992
General Securities Principal Examination

Current Firm

FA
FINANCIAL ADVOCATES ADVISORY SERVICES
BRUNDIGE WEALTH MANAGEMENT | TRUE RETIREMENT | QPS FINANCIAL | LAURUS WEALTH MANAGEMENT | IMPACT BENEFITS & RETIREMENT | IMPACT | HEESTAND COMPANY | FINANCIAL ADVOCATES ADVISORY SERVICES, LLC | FINANCIAL ADVOCATES ADVISORY SERVICES | CHANNEL FINANCIAL

CRD#: 147786 / SEC#: 801-110695

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Contact information

Main Address
1601 Cooper Point Rd Nw, Olympia, WA 98502
Mailing Address
Phone number
(360) 866-2345
Established
Firm type
Fiscal year end
# of Employees
8

Documents

Latest Form ADV

Part 2 Brochures

FAAS FIRM BROCHURE ANNUAL 3 2023 (3/31/2023)

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.

Company Information

FINANCIAL ADVOCATES ADVISORY SERVICES

CRD#: 147786

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