Carole Ann Sarson

Employer firm

LPl Financial LLC CRD 6413

$819B regulatory AUM 209,600 advisory clients

Reported services (Item 5G)

• Financial planning
• Portfolio management (individuals)
• Portfolio management (institutions)
• Educational seminars
• CONSULTING AND OTHER NON-DISCRETIONARY ADVISORY SERVICES

From the firm’s Form ADV. Read the guides:

• Item 5F — Regulatory AUM
• Item 5G — Advisory services
• Full firm profile

Current Employers

Employment History

• 04/2016 → 03/2019
  Kestra Financial Services, Inc.
  Austin, TX
• 03/2019 → Present
  Lpl Financial Llc
  Washington, NJ

Previous Registrations

• 2016-04-20 → 2019-03-28
  Kestra Advisory Services, Llc
  Washington, NJ
• 2011-08-08 → 2016-09-22
  Kestra Investment Services, Llc
  Washington, NJ
• 2010-11-05 → 2011-08-10
  Cetera Wealth Services, Llc
  King Of Prussia, PA
  Belvidere, NJ
• 2008-08-01 → 2010-07-26
  Nationwide Securities, Llc
  Belvidere, NJ
• 1999-11-19 → 2008-08-01
  1717 Capital Management Company
  Belvidere, NJ
  Belvidere, NJ

Other Businesses

1. 03/20/2019 - Notary - State of New Jersey - inv rel - at reported business location(s) - start: 02/2015 2. 03/20/2019 - Carole and James Sarson JTWROS - land Ownership - inv rel - Belvidere, NJ - start: 1999 3. 11/13/2019 - CAS Financial and Insurance Services or DFS Advisors LLC - Investment related - At reported business location(s) - Non-Variable Insurance - start date:03/28/2019 - 40 hrs/mo - 10 hrs during trading. 4. 03/17/2022 - CAS Financial & Insurance Co - Investment Related - At Reported Business Location(s) - DBA for LPL Business (entity for LPL business) - Start Date - 03/01/2019 - 10 Hours Per Month/1 Hours During Securities Trading 5. 01/02/2025 - Windrush III Condo Association - Not Investment Related - Non-Profit Board Member - Tarpon Springs FL - Start Date: 01/16/2025 - 1 Hours Per Month - 0 Hours During Securities Trading

Exams

• S65 Uniform Investment Adviser Law Examination
  1999-07-07
• S63 Uniform Securities Agent State Law Examination
  1998-07-22

Other Names

• Carole Schanzlin
• Carole Ann Schanzlin-Sarson