Individual Firm
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CARINA DEE ALT
CRD#: 4590944
IA
B
LPL FINANCIAL LLCCRD#: 6413 1422 NORTHPORT DRIVE
MADISON, WI 53704
MADISON, WI 53704
0
Disclosures
22
Years of Experience
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State Registrations
B
Arizona 8/19/2022
B
New York 11/6/2013
B
California 7/15/2020
B
Oregon 10/13/2017
B
Florida 10/11/2011
B
Texas 3/28/2013
B
Georgia 3/7/2024
IA
Texas 3/28/2013
B
Illinois 1/14/2020
B
Vermont 12/19/2023
B
Kentucky 3/28/2013
B
Wisconsin 10/11/2011
B
Minnesota 12/26/2023
IA
Wisconsin 10/11/2011
B
Missouri 1/3/2022
SRO Registrations
B
View Exams Passed by the individual in the detailed report
Learn about permitted activities of registered representatives
Learn about permitted activities of registered principals
IA
Registered with this firm since 10/11/2011
B
Registered with this firm since 10/11/2011
| th hidden text | th hidden text | Name | Location |
|---|---|---|---|
IA | 07/25/2007 - 10/11/2011 | MADISON, WI | |
B | 07/25/2007 - 10/11/2011 | MADISON, WI | |
B | 06/14/2006 - 07/24/2007 | MADISON, WI | |
B | 02/02/2005 - 06/07/2006 | GREEN BAY, WI | |
B | 10/16/2002 - 02/02/2005 | ST. CLOUD, MN |
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B
Broker A brokerage firm, also called a broker-dealer, is in the business of buying and selling securities – stocks, bonds, mutual funds, and certain other investment products – on behalf of its customer (as broker), for its own bank (dealer), or both. Individuals who work for broker-dealers - the sales personnel are commonly referred to as brokers.
IA
Investment Adviser An investment adviser is paid for providing advice about securities to clients. In addition, some investment advisers manage investment portfolios and offer financial planning services.
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.