Carole Browne

NFP Retirement INC.

13 Years of Experience

View SEC Summary

Areas of Practice

Retirement PlanningInvestment ManagementBusiness OwnersFinancial Planning & Coaching

NFP Retirement INC.

Compensation

Fee-Only (AUM)Fixed/Hourly

Firm Size

139 advisors

Number of Clients

6,585 clients

Average Client Portfolio

$17.9M average

Assets Under Management

$118.0B

Fee Structure

Minimum Investment:$25K

Financial Planning:Investment management only

Location

120 Vantis, Suite 400, Aliso Viejo, CA, 92656

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History

Regulatory History

Clean regulatory record

No disclosures, customer disputes, or regulatory actions on file.

Disclosures include customer complaints, regulatory actions, and other events that advisors must report to the SEC. A clean record means none have been reported.

Other Business Activities

Carole is the 100% owner of a rental property in North Wales, PA, purchased in 2011 and rented since 2013. She spends minimal time on this non-investment related activity.

Employment History

Current Registrations

Wealthspire Retirement Advisory

August 2020 - Present · 5 yrs 6 mos

Previous Registrations

Oneamerica Securities, INC.Broker

April 2015 - January 2020 · 4 yrs 9 mos

Diversified Investors Securities CORP.Broker

February 2003 - August 2005 · 2 yrs 6 mos

Transamerica Securities Sales CorporationBroker

November 2001 - February 2003 · 1 yr 3 mos

State Registrations1 state

Advisor

Exams

No exam information available for this advisor.