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Detailed Report
CARINA L MORELAND
CARINA L SAUNDERS
CRD#: 5084683
IA
Investment Adviser
B
Broker
LPL FINANCIAL LLCCRD#: 6413 214 S FORREST STREET STE 3
STOUGHTON, WI 53589
Registration History
201220142016201820202022202420262 FIRMS2015 - 2016 (<1 year)2 FIRMS2016 - Present (8 years)BHARBOUR INVESTMENTS, INC. (CRD# 19258)2011 - 2015 (4 years)IAHARBOUR INVESTMENTS, INC. (CRD# 19258)2015 - 2015 (<1 year)
License(s)

State Registrations

B
Arizona 1/30/2017
B
Minnesota 8/12/2020
B
California 11/16/2020
B
Oregon 4/16/2020
B
Colorado 1/14/2019
B
Tennessee 9/18/2024
B
Florida 8/12/2020
B
Virginia 8/12/2020
B
Georgia 6/7/2023
B
Washington 9/4/2020
B
Iowa 9/4/2020
B
Wisconsin 12/15/2016
B
Michigan 9/18/2023
IA
Wisconsin 12/15/2016

SRO Registrations

B
 FINRA

View Exams Passed by the individual in the detailed report

Learn about permitted activities of registered representatives

Learn about permitted activities of registered principals

Not all jurisdictions require IAR registration or may have an exemption from registration.
Current Registration(s)
IA
LPL FINANCIAL LLC (CRD#:6413)
214 S FORREST STREET STE 3, STOUGHTON, WI 53589
Registered with this firm since 12/15/2016
B
LPL FINANCIAL LLC (CRD#:6413)
214 S FORREST STREET STE 3, STOUGHTON, WI 53589
Registered with this firm since 12/15/2016
Previous Registration(s)
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IA
 11/04/2015 - 09/30/2016 LPL FINANCIAL LLC (CRD#:6413) CROSS PLAINS, WI
B
 11/04/2015 - 09/30/2016 LPL FINANCIAL LLC (CRD#:6413) CROSS PLAINS, WI
IA
 06/08/2015 - 10/20/2015 HARBOUR INVESTMENTS, INC. (CRD#:19258) MADISON, WI
B
 04/22/2011 - 10/20/2015 HARBOUR INVESTMENTS, INC. (CRD#:19258) MADISON, WI
For additional information about investment advisers or broker-dealers, please visit
www.investor.gov
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
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.