Carolin Alaverdian

WINDSOR CAPITAL MANAGEMENT

VALLEY GLEN, CA

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CRD#: 2981246

Professional summary

Carolin Alaverdian, who also goes by Carolin Alaverdian Haib, Carolin Alaverdian Hails, is a registered financial advisor currently at WINDSOR CAPITAL MANAGEMENT, LLC located in Valley Glen, California.

Carolin is registered as an IAR (Investment Advisor Representative) and started their career in finance in 1998. Carolin has worked at 10 firms and has passed the Series 65, Series 63 and Series 7 exams.

Question & Answer

Are you a "fiduciary"?

Yes

Aliases

Carolin Alaverdian Haib | Carolin Alaverdian Hails

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. BALBOA REAL ESTATE, 5256 S. MISSION RD. SUITE 905, BONSALL, CA 92003. NOT INVESTMENT-RELATED. START DATE-02/2024, REAL ESTATE SALES. POSITION: REAL ESTATE AGENT. 48 HOURS HOURS WORKED PER MONTH ALL DURING SECURITIES TRADING HOURS.

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Carolin Alaverdian'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

November 24, 2008 - Present

WINDSOR CAPITAL MANAGEMENT, LLC

RIA

CRD#: 116593

VALLEY GLEN, CA

Past

November 24, 2008 - December 3, 2008

NATIONAL PLANNING CORPORATION

CRD#: 29604

WEST COVINA, CA

Past

May 30, 2007 - May 2, 2008

TD AMERITRADE, INC.

RIA

CRD#: 7870

LAS VEGAS, NV

Past

April 25, 2006 - May 2, 2008

TD AMERITRADE INVESTMENT MANAGEMENT, LLC

RIA

CRD#: 111514

LAS VEGAS, NV

Past

February 4, 2005 - May 23, 2007

TD AMERITRADE, INC.

RIA

CRD#: 7870

LAS VEGAS, NV

Past

February 4, 2005 - May 2, 2008

TD AMERITRADE, INC.

CRD#: 7870

LAS VEGAS, NV

Past

April 17, 2003 - January 31, 2005

PARTNERVEST ADVISORY SERVICES LLC

RIA

CRD#: 113621

SANTA BARBARA, CA

Past

April 17, 2003 - January 31, 2005

PARTNERVEST SECURITIES, INC.

CRD#: 104134

SANTA BARBARA, CA

Past

January 10, 2002 - April 22, 2003

AMERIPRISE ADVISOR SERVICES, INC.

CRD#: 5979

DETROIT, MI

Past

April 5, 2001 - January 16, 2002

CAL FED INVESTMENTS

CRD#: 19631

SACRAMENTO, CA

Past

June 6, 2000 - February 26, 2001

PRUDENTIAL EQUITY GROUP, LLC

CRD#: 7471

NEW YORK, NY

Past

August 21, 1998 - June 14, 2000

MORGAN STANLEY DW INC.

CRD#: 7556

PURCHASE, NY

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".

WINDSOR CAPITAL MANAGEMENT, LLC

WINDSOR CAPITAL MANAGEMENT, LLC | WINDSOR FINANCIAL GROUP, LLC

CRD#: 116593 / SEC#: 801-64200

RIA

Registered Investment Advisory firm - (4/28/2005 Approved)

Arizona

Registered Investment Advisory firm - (9/26/2005 Terminated)

Colorado

Registered Investment Advisory firm - (9/27/2005 Terminated)

Idaho

Registered Investment Advisory firm - (4/29/2005 Terminated)

Why is a state registration marked "Terminated"? When a firm registers with the SEC (usually after managing $100M+ AUM), it often withdraws separate state firm registrations unless required by that state. The firm can still serve clients there through its individually registered Investment Advisor Representatives (IARs).

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.

Highlighted states indicate IAR registrations

IAR

California
(11/24/2008)

IAR

Nevada
(5/11/2017)

IAR

Utah
(5/25/2017)

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.

Exams

State Security Law Exam

IAR

Series 65

Date: 8/11/1999

Uniform Investment Adviser Law Examination

State Security Law Exam

Series 63

Date: 9/10/1998

Uniform Securities Agent State Law Examination

General Industry/Product Exam

Series 7

Date: 8/20/1998

General Securities Representative Examination

Current Firm

WINDSOR CAPITAL MANAGEMENT, LLC

WINDSOR CAPITAL MANAGEMENT, LLC | WINDSOR FINANCIAL GROUP, LLC

CRD#: 116593 / SEC#: 801-64200

RIA

Registered Investment Advisory firm - (4/28/2005 Approved)

Arizona

Registered Investment Advisory firm - (9/26/2005 Terminated)

Colorado

Registered Investment Advisory firm - (9/27/2005 Terminated)

Idaho

Registered Investment Advisory firm - (4/29/2005 Terminated)

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Contact information

Main Address

20860 North Tatum Blvd. Suite 220, Phoenix, AZ 85050

Mailing Address

Phone number

(480) 515-3514

Established

Firm type

Fiscal year end

# of Employees

SEC notice filing (18 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)

Latest Form ADV

Part 2 Brochures

WINDSOR CAPITAL MANAGEMENT, LLC ADV BROCHURE (2/3/2025)

Regulatory assets under management

Total Number of Accounts	1,195
AUM (Assets Under Management)	$ 664,971,197

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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Firm Stability Insights

Carolin Alaverdian

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Carolin Alaverdian's CRS (Customer Relationship Summary).

Certified licenses

Experience

NATIONAL PLANNING CORPORATION

TD AMERITRADE, INC.

TD AMERITRADE INVESTMENT MANAGEMENT, LLC

TD AMERITRADE, INC.

TD AMERITRADE, INC.

PARTNERVEST ADVISORY SERVICES LLC

PARTNERVEST SECURITIES, INC.

AMERIPRISE ADVISOR SERVICES, INC.

CAL FED INVESTMENTS

PRUDENTIAL EQUITY GROUP, LLC

MORGAN STANLEY DW INC.

Primary Firm SEC Registration

WINDSOR CAPITAL MANAGEMENT, LLC

State Registrations and Notice Filings

Exams

Series 65

Date: 8/11/1999

Series 63

Date: 9/10/1998

Series 7

Date: 8/20/1998

Current Firm

WINDSOR CAPITAL MANAGEMENT, LLC

Contact information

SEC notice filing (18 States and Territories)

Documents

Part 2 Brochures

Regulatory assets under management

Red Flags

Company Information

WINDSOR CAPITAL MANAGEMENT, LLC

TRUST BUT VERIFY

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