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CL

Carolyn L. Ledford

ALIGHT FINANCIAL SOLUTIONS
CHARLOTTE, NC 28269
Some features on this profile are disabled
CRD#: 5986662
CL

Professional summary

Carolyn Lee Ledford, who also goes by Carolyn L Babel, Carrie Lee Babel, Carolyn L Ledford, Carolyn Lee Ledford, Carolyn Ledford, Carrie Lee Ledford, is a registered financial professional currently at ALIGHT FINANCIAL SOLUTIONS, LLC located in Charlotte, North Carolina.

Carolyn is registered as a RR (Registered Representative) and started their career in finance in 2011. Carolyn has worked at 4 firms and has passed the Series 63, SIE and Series 6 exams.

Question & Answer

Are you a "fiduciary"?
No

Aliases

Carolyn L Babel | Carrie Lee Babel | Carolyn L Ledford | Carolyn Lee Ledford | Carolyn Ledford | Carrie Lee Ledford

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) - BD

Click below to view Carolyn Lee Ledford'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

March 17, 2022 - Present

ALIGHT FINANCIAL SOLUTIONS, LLC

Office #1: 9335 Harris Corners Parkway Ste 150, Charlotte, NC 28269
BD
CRD#: 36509
CHARLOTTE, NC
Past

June 2, 2017 - June 8, 2021

WELLS FARGO CLEARING SERVICES, LLC

BD
CRD#: 19616
PALM BAY, FL
Past

October 1, 2012 - April 5, 2017

J.P. MORGAN SECURITIES LLC

BD
CRD#: 79
VERO BEACH, FL
Past

November 8, 2011 - October 1, 2012

CHASE INVESTMENT SERVICES CORP.

BD
CRD#: 25574
VERO BEACH, FL

State Registrations and Notice Filings

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

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
Alabama
(3/17/2022)
RR
Alaska
(3/17/2022)
RR
Arizona
(3/17/2022)
RR
Arkansas
(3/17/2022)
RR
California
(3/17/2022)
RR
Colorado
(3/17/2022)
RR
Connecticut
(3/17/2022)
RR
Delaware
(3/17/2022)
RR
District of Columbia
(3/17/2022)
RR
Florida
(3/17/2022)
RR
Georgia
(3/17/2022)
RR
Hawaii
(3/17/2022)
RR
Idaho
(3/17/2022)
RR
Illinois
(3/17/2022)
RR
Indiana
(3/17/2022)
RR
Iowa
(3/17/2022)
RR
Kansas
(3/17/2022)
RR
Kentucky
(3/17/2022)
RR
Louisiana
(3/17/2022)
RR
Maine
(3/17/2022)
RR
Maryland
(3/17/2022)
RR
Massachusetts
(3/17/2022)
RR
Michigan
(3/17/2022)
RR
Minnesota
(3/17/2022)
RR
Mississippi
(3/17/2022)
RR
Missouri
(3/17/2022)
RR
Montana
(3/17/2022)
RR
Nebraska
(3/17/2022)
RR
Nevada
(3/17/2022)
RR
New Hampshire
(3/17/2022)
RR
New Jersey
(3/17/2022)
RR
New Mexico
(3/17/2022)
RR
New York
(3/17/2022)
RR
North Carolina
(3/17/2022)
RR
North Dakota
(3/17/2022)
RR
Ohio
(3/17/2022)
RR
Oklahoma
(3/17/2022)
RR
Oregon
(3/17/2022)
RR
Pennsylvania
(3/17/2022)
RR
Puerto Rico
(3/17/2022)
RR
Rhode Island
(3/17/2022)
RR
South Carolina
(3/17/2022)
RR
South Dakota
(3/17/2022)
RR
Tennessee
(3/17/2022)
RR
Texas
(3/17/2022)
RR
Utah
(3/17/2022)
RR
Vermont
(3/17/2022)
RR
Virginia
(3/17/2022)
RR
Washington
(3/17/2022)
RR
West Virginia
(3/17/2022)
RR
Wisconsin
(3/17/2022)
RR
Wyoming
(3/17/2022)

Exams

State Security Law Exam
RR
Series 63
Date: 7/7/2017
Uniform Securities Agent State Law Examination
General Industry/Product Exam
RR
SIE
Date: 10/1/2018
Securities Industry Essentials Examination
General Industry/Product Exam
RR
Series 6
Date: 11/7/2011
Investment Company Products/Variable Contracts Representative Examination
SRO Registrations
RR
FINRA

Current Firm

AF
ALIGHT FINANCIAL SOLUTIONS, LLC
ALIGHT FINANCIAL SOLUTIONS, LLC | HEWITT SERVICES LLC | HEWITT FINANCIAL SERVICES LLC

CRD#: 36509 / SEC#: , 8-47344

BD
Broker-Dealer Firm Regulated by FINRA (Chicago district office)
PREMIUM
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Contact information

Main Address
320 South Canal Street 50th Floor, Chicago, IL 60606
Mailing Address
9335 Harris Corners Parkway Suite 150, Charlotte, NC 28269
Phone number
(224) 737-7000
Established
Illinois since 04/08/1994
Firm type
Limited Liability Company
Fiscal year end
December
Firm Size
Small
# of Employees

FINRA licenses (52 States and Territories)

Blank US states mapAlaskaHawaiiAlabamaArkansasArizonaCaliforniaColoradoConnecticutDelawareFloridaGeorgiaIowaIdahoIllinoisIndianaKansasKentuckyLouisianaMassachusettsMarylandMaineMichiganMinnesotaMissouriMississippiMontanaNorth CarolinaNorth DakotaNebraskaNew HampshireNew JerseyNew MexicoNevadaNew YorkOhioOklahomaOregonPennsylvaniaRhode IslandSouth CarolinaSouth DakotaTennesseeTexasUtahVirginiaVermontWisconsinWest VirginiaWyoming

Documents

Customer Relationship Summary (CRS / FINRA)

Direct owners and executive officers

NamePositionCRD#
ALIGHT SOLUTIONS, LLCOWNER
CHOTKOWSKI, MATTHEW ADAMCHIEF COMPLIANCE OFFICER5233117
FRITZ, JEREMY JASONDIRECTOR OF BROKERAGE AND PERSONAL FINANCE SERVICES/COO3261871
KEITH, DOUGLAS SCOTTCHIEF FINANCIAL OFFICER5190086

Disclosures

Regulatory Event2
Arbitration2

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

ALIGHT FINANCIAL SOLUTIONS, LLC

CRD#: 36509Charlotte, NC 28269

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