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CAROL NANETTE UNGAR
CRD#: 1239534
IA
Investment Adviser
B
Broker
CETERA INVESTMENT ADVISERS LLCCRD#: 105644 W NYACK, NY
CETERA FINANCIAL SPECIALISTS LLCCRD#: 10358 14 LOUISE DRIVE
W NYACK, NY 10994
Registration History
198519901995200020052010201520202025IACETERA INVESTMENT ADVISERS LLC (CRD# 105644)2021 - Present (3 years)BCETERA FINANCIAL SPECIALISTS LLC (CRD# 10358)2005 - Present (19 years)BC. J. M. PLANNING CORP. (CRD# 5698)2000 - 2005 (4 years)BNATHAN & LEWIS SECURITIES, INC. (CRD# 8503)1997 - 2000 (3 years)BCHURCHILL SECURITIES, INC. (CRD# 10343)1993 - 1997 (4 years)BROBERT TODD FINANCIAL CORP. (CRD# 7423)1991 - 1992 (1 year)BGLOBAL CAPITAL SECURITIES, INC. (CRD# 13358)1984 - 1992 (8 years)
License(s)

State Registrations

B
Delaware 1/2/2020

IA
New York 5/21/2021

B
Florida 10/24/2005

B
North Carolina 3/18/2014

B
Georgia 1/25/2016

B
Oregon 1/3/2017

B
Maryland 6/28/2016

B
Pennsylvania 1/25/2016

B
Massachusetts 10/16/2012

B
South Carolina 11/9/2015

B
New Jersey 10/24/2005

B
Tennessee 1/2/2021

B
New York 10/24/2005

SRO Registrations

Not all jurisdictions require IAR registration or may have an exemption from registration.
Current Registration(s)
IA
CETERA INVESTMENT ADVISERS LLC (CRD#:105644)
W NYACK, NY
Registered with this firm since 5/21/2021

B
CETERA FINANCIAL SPECIALISTS LLC (CRD#:10358)
14 LOUISE DRIVE, W NYACK, NY 10994
Registered with this firm since 10/24/2005

Previous Registration(s)
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B
11/07/2000 - 10/24/2005 C. J. M. PLANNING CORP. (CRD#:5698) POMPTON LAKES, NJ
B
09/03/1997 - 10/24/2000 NATHAN & LEWIS SECURITIES, INC. (CRD#:8503) NEW YORK, NY
B
01/01/1993 - 07/02/1997 CHURCHILL SECURITIES, INC. (CRD#:10343) SUFFERN, NY
B
02/25/1991 - 12/02/1992 ROBERT TODD FINANCIAL CORP. (CRD#:7423) NEW YORK, NY
B
06/07/1984 - 06/19/1992 GLOBAL CAPITAL SECURITIES, INC. (CRD#:13358)
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B
Broker
IA
Investment Adviser
Disclosures
Disclosures can be customer complaints or arbitrations, regulatory actions, employment terminations, bankruptcy filings and certain civil or criminal proceedings that they were a part of.