Carol R. Breglio
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.
Carol Rogers Breglio, who also goes by Carol Denise Rogers, was a registered financial professional .
Carol is a previously registered financial professional and started their career in finance in 1999. Carol had worked at 5 firms and has passed the Series 66, SIE and Series 7 exams.
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
May 11, 2018 - September 9, 2020
INTENTIONAL WEALTH STRATEGIES
October 17, 2017 - December 31, 2020
RAYMOND JAMES FINANCIAL SERVICES ADVISORS, INC
October 13, 2017 - December 31, 2020
RAYMOND JAMES FINANCIAL SERVICES, INC.
July 1, 1999 - October 16, 2017
AMERIPRISE FINANCIAL SERVICES, LLC
June 28, 1999 - July 3, 2006
IDS LIFE INSURANCE COMPANY
June 28, 1999 - October 16, 2017
AMERIPRISE FINANCIAL SERVICES, LLC
State Registrations and Notice Filings
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Exams
Current Firm
INTENTIONAL WEALTH STRATEGIES
CRD#: 292613 / SEC#:
Contact information
Red Flags
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