Carole Jean Pfeifer

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

• 05/2010 → 04/2024
  Raymond James Financial Services
  Greenwood Village, CO
• 03/2014 → 04/2024
  Raymond James Financial Services Advisors Inc.
  Greenwood Village, CO
• 01/1999 → 10/2025
  Newell Financial Serivces, Inc.
  Greenwood Village, CO
• 04/2024 → Present
  Lpl Financial
  Greenwood Village, CO

Previous Registrations

• 2014-03-13 → 2024-04-16
  Raymond James Financial Services Advisors, Inc
  Greenwood Village, CO
  Greenwood Village, CO

Exams

• S66 Uniform Combined State Law Examination
  2014-02-25

Other Names

• Carole Jean Such