CS
Carole-lynn Saros
NWF ADVISORY SERVICES
WILLINGTON, CT
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CRD#: 2092603
CS
Professional summary
Carole-lynn Saros, CFP®, who also goes by Carole Lynn Denigris, Carole Lynn Saros, Carole Saros, Carolelynn Saros, Cl Saros, is a registered financial advisor currently at NWF ADVISORY SERVICES INC located in Willington, Connecticut and OSAIC WEALTH, INC. located in Storrs Mansfield, Connecticut.
Carole-lynn is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1991. Carole-lynn has worked at 9 firms and has passed the Series 66, SIE, Series 7, Series 24 and Series 27 exams.
Question & Answer
What are your service offerings?
Tax Planning
Investment Planning
Estate Planning
Comprehensive Financial Planni...
Insurance Planning
Retirement Planning
Are you a "fiduciary"?
Yes
Aliases
Carole Lynn Denigris | Carole Lynn Saros | Carole Saros | Carolelynn Saros | Cl Saros
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) INSURANCE AGENT POSITION: Insurance Agent NATURE: Fixed insurance and annuity sales and servicing. INVESTMENT RELATED: Yes NUMBER OF HOURS: 2 SECURITIES TRADING HOURS: 2 START DATE: 07/12/2001 ADDRESS: 113 South Eagleville Road, Apt 4C, Storrs Mansfield, CT 06268, United States DESCRIPTION: Insurance agent for fixed products: term insurance and traditional fixed annuities. 2) CS FINANCIAL SERVICES, LLC CPA POSITION: Owner NATURE: Tax return preparation and advice, and accounting services. INVESTMENT RELATED: No NUMBER OF HOURS: 20 SECURITIES TRADING HOURS: 10 START DATE: 06/01/1997 ADDRESS: 113 South Eagleville Road, Apt 4C, Storrs Mansfield, CT 06268, United States DESCRIPTION: Tax return preparation and advice, and accounting services. 3) CS FINANCIAL SERVICES, LLC POSITION: Owner NATURE: Tax and accounting services, insurance and doing business as financial services. INVESTMENT RELATED: Yes NUMBER OF HOURS: 200 SECURITIES TRADING HOURS: 160 START DATE: 07/12/2001 ADDRESS: 10 Timber Lane, Willington CT 06279, United States DESCRIPTION: CPA income tax preparation and advice, and accounting services. Fixed annuity/insurance service and sales. Financial planning and investment advisory services. 4) NWF ADVISORY SERVICES, INC. POSITION: Investment Advisory Representative NATURE: Corporation; Registered Investment Adviser INVESTMENT RELATED: Yes NUMBER OF HOURS: 160 SECURITIES TRADING HOURS: 140 START DATE: 06/01/2025 ADDRESS: 11835 W OLYMPIC BLVD, STE 1155 E., Los Angeles, CA 90064, United States DESCRIPTION: I provide investment advice, wealth management, and financial planning services to clients.
CRS (Client Relationship Summary) - RIA
Click below to view Carole-lynn Saros's 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®
CFP®
Start date: 2006
Experience
Current
May 28, 2025 - Present
NWF ADVISORY SERVICES INC
RIA
CRD#: 110410
WILLINGTON, CT
Current
July 29, 2024 - Present
OSAIC WEALTH, INC.
RIA
BD
CRD#: 23131
STORRS MANSFIELD, CT
Past
July 29, 2024 - July 2, 2025
THE AMERIFLEX GROUP
RIA
CRD#: 305585
Willington, CT
Past
August 13, 2007 - March 21, 2012
THE PERSONAL WEALTH COACH
RIA
CRD#: 144588
WILLINGTON, CT
Past
October 24, 2006 - July 31, 2024
NEXT FINANCIAL GROUP, INC.
RIA
CRD#: 46214
WILLINGTON, CT
Past
October 23, 2006 - July 31, 2024
NEXT FINANCIAL GROUP, INC.
BD
CRD#: 46214
WILLINGTON, CT
Past
March 22, 2001 - October 30, 2006
TRANSAMERICA FINANCIAL ADVISORS, LLC
RIA
CRD#: 16164
WILLINGTON, CT
Past
January 5, 2001 - October 30, 2006
TRANSAMERICA FINANCIAL ADVISORS, LLC
BD
CRD#: 16164
WILLINGTON, CT
Past
March 1, 1996 - July 9, 1996
MML INVESTORS SERVICES, LLC
BD
CRD#: 10409
SPRINGFIELD, MA
Past
June 29, 1995 - July 9, 1996
MML DISTRIBUTORS, LLC
BD
CRD#: 38030
SPRINGFIELD, MA
Past
July 3, 1991 - March 1, 1996
G. R. PHELPS & CO., INC.
BD
CRD#: 173
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".
NA
NWF ADVISORY SERVICES INC
AFP ADVISORY SERVICES INC | NWF ADVISORY SERVICES INC
CRD#: 110410 / SEC#: 801-55681
RIA
Registered Investment Advisory firm - (6/30/1998 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.RR
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
RR
Colorado(7/29/2024)
RR
Connecticut(7/29/2024)
IAR
Connecticut(5/28/2025)
RR
Florida(7/29/2024)
RR
Maryland(7/29/2024)
RR
Massachusetts(7/29/2024)
RR
New York(11/7/2025)
RR
Rhode Island(7/29/2024)
RR
Vermont(7/29/2024)
RR
Virginia(7/29/2024)
Exams
State Security Law Exam
General Industry/Product Exam
General Industry/Product Exam
Principal/Supervisory Exam
Principal/Supervisory Exam
SRO Registrations
RR
FINRA
Current Firm
NA
NWF ADVISORY SERVICES INC
AFP ADVISORY SERVICES INC | NWF ADVISORY SERVICES INC
CRD#: 110410 / SEC#: 801-55681
RIA
Registered Investment Advisory firm - (6/30/1998 Approved)Upgrade to AdvisorCheck Premium
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Contact information
Main Address
11835 W Olympic Blvd Ste 1155 E., Los Angeles, CA 90064
Mailing Address
Phone number
(310) 475-5854
Established
Firm type
Fiscal year end
# of Employees
71
SEC notice filing (24 States and Territories)
Documents
Regulatory assets under management
| Total Number of Accounts | 11,979 |
| AUM (Assets Under Management) | $ 3,824,876,751 |
Red Flags
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Check for any disclosures as part of your thorough research when choosing an advisor.
