CP
CFP
CP
CFP
Carolyn Pozzi
35 Years of Experience
Jacksonville, FL
3 DisclosuresBroker
Carolyn Pozzi is a CFP-designated registered investment advisor at Cetera Investment Advisers LLC, based in Jacksonville, FL, with 35 years of industry experience. Carolyn operates on a fee-only basis, meaning they do not earn commissions from product sales. Their firm serves 584,487 clients with $160B in assets under management.
Compensation
Fee-Only (% of Portfolio)Fixed/Hourly
Firm Size
10345 advisors
IM Fee
Planning only
Assets Under Management
$163.8B
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Location
110 Busch Drive, Jacksonville, FL, 32218
Get directionsHistory
Regulatory History (3)
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Customer Dispute
June 2024Denied
Customer Dispute
June 2014Denied
Customer Dispute
May 2004Settled
Employment History
Current Registrations
Cetera Investment Advisers LLC
November 2024 - Present · 1 yr 6 mos
Cetera Investment Services LLCBroker
October 2024 - Present · 1 yr 7 mos
Previous Registrations
LPL Financial LLC
March 2024 - November 2024 · 8 mos
LPL Financial LLCBroker
March 2024 - November 2024 · 8 mos
Cetera Investment Advisers LLC
December 2019 - March 2024 · 4 yrs 3 mos
Cetera Investment Services LLCBroker
December 2019 - March 2024 · 4 yrs 3 mos
Woodbury Financial Services, INC.Broker
March 2019 - December 2019 · 9 mos
Woodbury Financial Services, INC.
March 2019 - December 2019 · 9 mos
Questar Asset Management, INC.
December 2018 - March 2019 · 3 mos
Questar Capital CorporationBroker
December 2018 - March 2019 · 3 mos
Merrill Lynch, Pierce, Fenner & Smith IncorporatedBroker
October 2003 - November 2014 · 11 yrs 1 mo
Merrill Lynch, Pierce, Fenner & Smith Incorporated
October 2003 - November 2014 · 11 yrs 1 mo
Banc of America Investment Services, INC.
April 2002 - November 2003 · 1 yr 7 mos
Banc of America Investment Services, INC.Broker
January 2002 - November 2003 · 1 yr 10 mos
Wachovia Securities, INC.Broker
February 2000 - January 2002 · 1 yr 11 mos
Wachovia Brokerage ServiceBroker
May 1995 - February 2000 · 4 yrs 9 mos
Lincoln Financial Advisors CorporationBroker
March 1994 - May 1995 · 1 yr 2 mos
The Lincoln National Life Insurance CompanyBroker
March 1994 - May 1995 · 1 yr 2 mos
Uslife Equity Sales CORP.Broker
August 1992 - March 1994 · 1 yr 7 mos
Uslife Equity Sales CORP.Broker
February 1992 - July 1992 · 5 mos
Dean Witter Reynolds INC.Broker
January 1991 - January 1991 · 0 mos
Global Capital Securities, INC.Broker
April 1988 - March 1989 · 11 mos
Dean Witter Reynolds INC.Broker
August 1986 - November 1987 · 1 yr 3 mos
Isfa CorporationBroker
October 1983 - August 1986 · 2 yrs 10 mos
Shearson/american Express INC.Broker
April 1983 - September 1983 · 5 mos
State Registrations9 states
ALFLGAILLANCNYOHSC
AdvisorBrokerBoth
You can work with an advisor not registered in your state. Most advisors can legally serve a small number of clients across state lines without registering.
Exams
No exam information available for this advisor.