Carol Nanette Ungar

Employer firm

Cetera Investment Advisers LLC CRD 105644

$257B regulatory AUM 24,019 advisory clients

Reported services (Item 5G)

Financial planning
Portfolio management (individuals)
Portfolio management (institutions)
Pension consulting
Selection of other advisers
Educational seminars

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

Current Employers

Cetera Investment Advisers Llc

1450 American Lane 6Th Floor, Suite 650, Schaumburg, IL 60173-2096 • United States

Current Registrations

Authority	Category	Status	Date
NY	RA	APPROVED	2021-05-21

NY RA
APPROVED

Since 2021-05-21

Branch Locations

W Nyack, NY • United States

Disclosures

No disclosure categories reported as “Yes” on this SEC record.

Regulatory action No
Criminal No
Bankruptcy No
Civil judicial No
Bond No
Judgment / lien No
Investigation No
Customer complaint No
Termination No

Employment History

Organization	City	State	From	To
Ungar & Mullin Financial Associates, Inc.	W Nyack	NY	10/1986	Present
Cetera Financial Specialists Llc	Schaumburg	IL	10/2005	Present
Cetera Investment Advisers Llc	Schaumburg	IL	11/2009	Present

10/1986 → Present

Ungar & Mullin Financial Associates, Inc.

W Nyack, NY
10/2005 → Present

Cetera Financial Specialists Llc

Schaumburg, IL
11/2009 → Present

Cetera Investment Advisers Llc

Schaumburg, IL

Other Businesses

1)UNGAR & MULLIN FINANCIAL ASSOCIATES, INC, NOT INVESTMENT RELATED, TAX PRACTICE, PREPARATION OF TAX RETURNS, INDIVIDUAL CORPORATE, PARTNERSHIP TRUST, CORPORATION & PARTNER: BERNARD MULLIN; 2) SELLS FIXED ANNUITIES, LIFE INSURANCE, HEALTH INSURANCE AND LONG-TERM CARE INSURANCE, 10H/WEEK; 3) WEIGHT WATCHERS, NOT INV REL, RECEPTIONIST, SINCE 08/2007, 4H/WK;

Exams

Code	Exam	Date
S63	Uniform Securities Agent State Law Examination	1984-05-04

S63 Uniform Securities Agent State Law Examination

1984-05-04

View on SEC IAPD